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Ka Leung Lee

Transamerica Financial Advisors, Inc.

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About Ka Leung Lee

Ka Leung Lee is an investment advisor representative with Transamerica Financial Advisors, Inc. Ka Leung Lee has been in the securities industry since September 22, 1995 and is currently registered with the state of New Jersey, New York and Texas. Ka Leung Lee is also registered as an investment advisor representative with the state of New Jersey, New York and Texas. In addition to Ka Leung Lee's role with Transamerica Financial Advisors, Inc., Ka Leung Lee is also the owner-member of Apex Consulting Services. Ka Leung Lee has previous experience with WORLD GROUP SECURITIES, INC. and WMA SECURITIES, INC..

Firm Information

Ka Lee 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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Ka Lee’s Registration & Firm History

NJ

03/28/2022 - Present

Transamerica Financial Advisors, Inc. (EDISON NJ)

NJ

04/12/2002 - 01/06/2012

WORLD GROUP SECURITIES, INC. (EDISON NJ)

GA

08/02/1996 - 04/12/2002

WMA SECURITIES, INC. (DULUTH GA)

NJ

12/08/1994 - 10/17/1995

PRUCO SECURITIES CORPORATION (NEWARK NJ)

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Licenses & Designations

IA

Issued 03/21/2022

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/08/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/12/1999

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/01/1994

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Ka Leung Lee.
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