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Karena Zhu

Transamerica Financial Advisors, Inc.

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About Karena Zhu

Karena Zhu is an investment advisor representative with Transamerica Financial Advisors, Inc. Karena Zhu has been in the financial industry since 2014 and has held prior positions with CITIGROUP GLOBAL MARKETS INC., MORGAN STANLEY, HSBC SECURITIES (USA) INC., and J.P. MORGAN SECURITIES LLC. Karena Zhu is registered with the state of California and has passed the Series 31, SIE, Series 7, and Series 6 exams. In addition to investment advisory services, Karena Zhu also offers other services such as selection of other advisors.

Firm Information

Karena Zhu 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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Karena Zhu’s Registration & Firm History

CA

05/15/2024 - Present

Transamerica Financial Advisors, Inc. (ALVISO CA)

CA

12/13/2021 - 04/10/2024

CITIGROUP GLOBAL MARKETS INC. (San Francisco CA)

CA

06/23/2020 - 11/16/2021

MORGAN STANLEY (San Francisco CA)

CA

11/21/2016 - 06/02/2020

HSBC SECURITIES (USA) INC. (OAKLAND CA)

CA

12/23/2013 - 11/02/2016

J.P. MORGAN SECURITIES LLC (PLEASANTON CA)

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Licenses & Designations

BOTH

Issued 01/06/2020

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/06/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/04/2021

Series 31 - Futures Managed Funds Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/12/2018

Series 7 - General Securities Representative Examination

BC

Issued 12/21/2013

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Karena Zhu.
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