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Mark Peng Yu

Transamerica Financial Advisors, Inc.

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About Mark Peng Yu

Mark Peng Yu is a financial advisor with over 15 years of experience in the industry. Mark Peng Yu is currently registered with Transamerica Financial Advisors, Inc., and has been with the firm since February 2013. Prior to joining Transamerica Financial Advisors, Inc., Mark Peng Yu was associated with WORLD GROUP SECURITIES, INC. Mark Peng Yu holds the Series 6, Series 63, and SIE licenses. Mark Peng Yu is a specialist in securities and variable contracts. Mark Peng Yu specializes in working with individual clients, high-net-worth individuals, insurance companies, charitable organizations, pension and profit-sharing plans, corporations or other businesses, and individuals other than high-net-worth individuals.

Firm Information

Mark Yu 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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Mark Yu’s Registration & Firm History

CA

02/18/2013 - Present

Transamerica Financial Advisors, Inc. (DIAMOND BAR CA)

CA

12/12/2003 - 02/14/2011

WORLD GROUP SECURITIES, INC. (BREA CA)

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Licenses & Designations

BC

Issued 11/25/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/11/2003

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Mark Peng Yu.
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