KM
Kay C. Matsui
TRANSAMERICA FINANCIAL ADVISORS
Honolulu, HI 96814
Some features on this profile are disabled
CRD#: 2713670
KM
Professional summary
Kay C H Matsui, who also goes by Kay C M Matsui, is a registered financial professional currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Honolulu, Hawaii.
Kay is registered as a RR (Registered Representative) and started their career in finance in 1996. Kay has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kay C M Matsui
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
"Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc." Health care, We care service LLC/ 0422-Present/ Investment Related: No / 1001 Queen St. #100 Honolulu, HI 96814 / Owner / Medicare Products / Hrs. Work Monthly: 10 / Sec Trading Hrs: 0/ Marketing Medicare Products Rental Income / 1012-Present / Investment-Related: No/ 2140 Kuhio Ave Honolulu, HI 96815/ Owner / Rental Property / Hrs Work Monthly: Very small portion of my working time / Sec Trading Hrs: 0/ NA Kaiser Permanente / 1219-Present / Investment Related: No / 1001 Queen St. #1611 Honolulu, HI 96815/ Health Insurance Agent / Offer Kaiser health insurance plan / Hrs Work Monthly: 4 / Sec Trading Hrs: 0/ Four hours a week activity involved TRANSAMERICA EMPLOYEE BENEFITS; 8/2018; NOT INVESTMENT RELATED; HONOLULU, HI; INDEPENDENT SALES AGENT FOR GROUP LIFE INSURANCE WITH LTC, CANCER RIDER KAY MATSUI LLC/NO/1888 KALAKAUA AVE, C312, HONOLULU, HI, 96815/INSURANCE SALES/OWNER/01.01.2016/200/8/MARKETING FINANCIAL PRODUCT INCLUDE LIFE INSURANCE BUSINESS. KAY MATSUI, P&C AGENT/NO/2140 KUHIO AVE, #902, HONOLULU, HI, 96815/PROPERTY INSURANCE SALES. I PASSES PROPERTY EXAM BUT DID NOT GET APPOINTED WITH ANY PROPERTY INSURANCE COMPANY YET/PROPERTY/12.15.2016/4/1/MY OBA REAL ESTATE CLIENTS ASKED ME TO EXTEND SERVICE TO HELP THEM OUT FOR PROPERTY INSURANCE AREA. HUMANA MEDICARE/NO/733 BISHOP ST, HONOLULU HI 96813/MEDICARE ADVANTAGE/INDEPENDENT SALES AGENT.06.15.2017/16/1/4HOURS PER WEEK Co name: AFLAC INSURANCE COMPANY / emp dates: 0320 TO PRESENT/ INVESTMENT RELATED: NO /address: 733 BISHOP ST #2530 HONOLULU, HI 96813/ position: SALE AGENT / nature of business: INSURANCE SALE REP/hrs work monthly: 16/Sec trading hrs: 0/ duties: 4 HOURS A WEEK PRIMARY PROPERTIES INC POSITION: Realtor Associate NATURE: Real estate INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 06/23/2021 ADDRESS: 745 fort street #608, Honolulu HI 96813, United States DESCRIPTION: I hang real estate license with Primary properties Inc for referral basis.
CRS (Client Relationship Summary) - BD
Click below to view Kay C H Matsui's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 1050 Queen St. #100, Honolulu, HI 96814RIA
BD
CRD#: 16164
Honolulu, HI
Past
January 6, 2012 - December 31, 2024
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
PHILADELPHIA, PA
Past
September 6, 2006 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
HONOLULU, HI
Past
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
HONOLULU, HI
Past
March 15, 1996 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Hawaii(1/6/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
