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Dennis P Tom

Transamerica Financial Advisors, Inc.

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About Dennis P Tom

Dennis Tom is a financial advisor at Transamerica Financial Advisors, Inc. Dennis has been in the financial services industry since 1989 and has experience with a variety of firms including Allstate Financial Services, LLC, WMA Securities, Inc., Pyramid Financial Corp., PRUCO Securities Corporation, The Prudential Insurance Company of America and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Dennis is licensed to provide financial advice in California. Dennis specializes in portfolio management for individuals and selection of other advisors.

Firm Information

Dennis Tom 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 Tom’s Registration & Firm History

CA

03/02/2015 - Present

Transamerica Financial Advisors, Inc. (Santa Clara CA)

CA

10/09/1999 - 12/31/2014

ALLSTATE FINANCIAL SERVICES, LLC (SAN RAMON CA)

GA

10/26/1995 - 07/08/1999

WMA SECURITIES, INC. (DULUTH GA)

CA

07/25/1994 - 01/03/1995

PYRAMID FINANCIAL CORP. (CUPERTINO CA)

NJ

07/07/1989 - 02/04/1993

PRUCO SECURITIES CORPORATION (NEWARK NJ)

NJ

07/07/1989 - 02/04/1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)

NA

08/27/1986 - 06/30/1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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Licenses & Designations

BC

Issued 11/11/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/26/1986

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 5 public disclosures for Dennis P Tom. Review regulatory record here.
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