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Lei Shi

Transamerica Financial Advisors, Inc.

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About Lei Shi

Lei Shi is an active investment advisor representative with Transamerica Financial Advisors, Inc. Lei has been in the securities industry since November 13, 1997. Lei is registered with the following regulators: Financial Industry Regulatory Authority (FINRA), and the states of Alabama, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Texas, Utah, Vermont, Virginia, Washington, West Virginia, and Wisconsin. Lei also holds the Series 6, Series 26, Series 63, and Series 65 licenses.

Firm Information

Lei Shi 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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Lei Shi’s Registration & Firm History

MD

03/17/2016 - Present

Transamerica Financial Advisors, Inc. (GAITHERSBURG MD)

MD

04/05/2002 - 01/06/2012

WORLD GROUP SECURITIES, INC. (ROCKVILLE MD)

GA

11/14/1997 - 04/12/2002

WMA SECURITIES, INC. (DULUTH GA)

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Licenses & Designations

IA

Issued 04/09/2009

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/19/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/20/1999

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/13/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Lei Shi. Review regulatory record here.
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