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Dennis Kok wai Lai

Transamerica Financial Advisors, Inc.

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About Dennis Kok wai Lai

Dennis Kok wai Lai is a financial advisor with Transamerica Financial Advisors, Inc. with over 18 years of experience. Dennis is a registered representative in New Jersey, New York and Texas and holds Series 7, 31, 55, 66 and SIE licenses. Dennis has previously worked with PIMCO INVESTMENTS LLC, ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC, ALPS DISTRIBUTORS, INC., ASSENT LLC, WORLDCO, L.L.C., FIRST NEW YORK SECURITIES L.L.C., RYAN, BECK & CO., LLC. and GRUNTAL & CO., L.L.C.. Dennis offers advisory services for individuals and selection of other advisors.

Firm Information

Dennis Lai 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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Dennis Lai’s Registration & Firm History

NY

02/27/2023 - Present

Transamerica Financial Advisors, Inc. (FLUSHING NY)

NY

02/14/2011 - 11/21/2014

PIMCO INVESTMENTS LLC (NEW YORK NY)

NY

01/01/2008 - 02/14/2011

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC (NEW YORK NY)

CO

08/18/2004 - 12/31/2005

ALPS DISTRIBUTORS, INC. (DENVER CO)

IL

10/20/2003 - 05/17/2004

ASSENT LLC (BOLINGBROOK IL)

NY

03/27/2003 - 10/23/2003

WORLDCO, L.L.C. (NEW YORK NY)

NY

10/21/2002 - 01/16/2003

FIRST NEW YORK SECURITIES L.L.C. (NEW YORK NY)

NJ

04/29/2002 - 05/30/2002

RYAN, BECK & CO., LLC. (FLORHAM PARK NJ)

NY

02/09/2000 - 05/13/2002

GRUNTAL & CO., L.L.C. (NEW YORK NY)

NY

05/20/1999 - 02/29/2000

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

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Licenses & Designations

BOTH

Issued 04/27/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/28/2019

Series 7TO - General Securities Representative Examination

BC

Issued 01/12/2019

SIE - Securities Industry Essentials Examination

BC

Issued 11/11/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 06/10/1999

Series 31 - Futures Managed Funds Examination

BC

Issued 05/19/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Dennis Kok wai Lai.
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