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Thomas Jonghwa Lee

Transamerica Financial Advisors, Inc.

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About Thomas Jonghwa Lee

Thomas Jonghwa Lee is an investment advisor representative, licensed to operate in New York, and is affiliated with Transamerica Financial Advisors, Inc. He is actively registered with the Securities and Exchange Commission (SEC) and holds a Series 7, Series 63, and Series 65 licenses. Thomas Jonghwa Lee joined Transamerica Financial Advisors, Inc. in 2024 and has experience with the financial services industry, including roles at J.P. MORGAN SECURITIES LLC, NYLIFE SECURITIES LLC, and World Financial Group. The firm primarily serves individual investors, high-net-worth individuals, and corporations or other businesses.

Firm Information

Thomas 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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Thomas Lee’s Registration & Firm History

NY

04/25/2024 - Present

Transamerica Financial Advisors, Inc. (Great Neck NY)

NY

10/18/2021 - 05/18/2022

J.P. MORGAN SECURITIES LLC (FLUSHING NY)

NJ

02/03/2020 - 10/14/2021

NYLIFE SECURITIES LLC (SADDLE BROOK NJ)

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Licenses & Designations

IA

Issued 05/05/2021

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/18/2020

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/03/2020

Series 7TO - General Securities Representative Examination

BC

Issued 11/18/2019

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Jonghwa Lee.
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