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Steve Tien Cao

Transamerica Financial Advisors, Inc.

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About Steve Tien Cao

Steve Cao has been in the financial services industry since January 11, 1989. Currently, Steve is registered with Transamerica Financial Advisors, Inc. and has been since January 6, 2012. Prior to that, Steve was registered with World Group Securities, Inc. from April 12, 2002 until January 6, 2012, and WMA Securities, Inc. from February 2, 1995 until April 12, 2002. Steve has also held registrations with Rushmore Securities Corporation and First American National Securities, Inc.. Steve holds the Series 6, Series 26, and Series 63 licenses. Steve is registered in the states of California, North Carolina, Texas, and Virginia.

Firm Information

Steve Cao 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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Steve Cao’s Registration & Firm History

TX

01/06/2012 - Present

Transamerica Financial Advisors, Inc. (DALLAS TX)

GA

04/12/2002 - 01/06/2012

WORLD GROUP SECURITIES, INC. (DULUTH GA)

GA

02/02/1995 - 04/12/2002

WMA SECURITIES, INC. (DULUTH GA)

TX

09/10/1993 - 12/20/1994

RUSHMORE SECURITIES CORPORATION (DALLAS TX)

GA

01/08/1987 - 10/18/1991

FIRST AMERICAN NATIONAL SECURITIES, INC. (DULUTH GA)

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Licenses & Designations

BC

Issued 12/12/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/06/1988

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/07/1987

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Steve Tien Cao. Review regulatory record here.
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