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Andrew Shiu ming Kom

Transamerica Financial Advisors, Inc.

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About Andrew Shiu ming Kom

Andrew Kom is an investment advisor representative associated with Transamerica Financial Advisors, Inc.. Andrew is registered with both the Securities and Exchange Commission (SEC) as an investment advisor representative and with the state of California as an investment advisor representative. Andrew has been in the securities industry since 2013 and has a Series 63 license and a Series 65 license. Andrew also has experience in insurance sales and college advising.

Firm Information

Andrew Kom is currently registered with Transamerica Financial Advisors, Inc.. Transamerica Financial Advisors, Inc. is a registered investment advisor with over 1,100 investment advisor representatives, managing $1 billion to $10 billion in client assets. The firm offers a range of services, including portfolio management for individuals, selection of other advisors, and wrap fee program participation. It has been in business since 1984 and is headquartered in St. Petersburg, FL. The firm serves a diverse clientele, including individuals, high-net-worth individuals, pension plans, corporations, charitable organizations, and other institutions.
Transamerica Financial Advisors, Inc.

570 CARILLON PARKWAY

ST PETERSBURG, FL 33716-1202

$1.62B

Assets Under Management

Not reported

Total Clients

2,487

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Andrew Kom’s Registration & Firm History

CA

04/16/2015 - Present

Transamerica Financial Advisors, Inc. (BURLINGAME CA)

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Licenses & Designations

IA

Issued 04/06/2015

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/22/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/29/2013

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/08/2013

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Andrew Shiu ming Kom.
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