DL
Dennis K. Lai
TRANSAMERICA FINANCIAL ADVISORS
Flushing, NY 11354
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CRD#: 3225741
DL
Professional summary
Dennis Kok Wai Lai, who also goes by Dennis Kw Lai, Dennis Lai, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Flushing, New York.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Dennis has worked at 10 firms and has passed the Series 66, Series 7TO, SIE, Series 55, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dennis Kw Lai | Dennis Lai
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 products and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc FULL PRODUCTIONS INC./Investment Related - No/2116 75th Street, East Elmhurst, NY 11370 , 917-304-9029/Construction Business/President - Owner/12.2017/120/120/Residential construction
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Kok Wai Lai's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dennis Kok Wai Lai'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
October 1, 2019 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 30-50 Whitestone Expwy Suite 105-d, Flushing, NY 11354RIA
BD
CRD#: 16164
Flushing, NY
Current
January 28, 2019 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 30-50 Whitestone Expwy Suite 105-d, Flushing, NY 11354RIA
BD
CRD#: 16164
Flushing, NY
Past
February 14, 2011 - November 21, 2014
PIMCO INVESTMENTS LLC
BD
CRD#: 154957
NEW YORK, NY
Past
January 1, 2008 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEW YORK, NY
Past
August 18, 2004 - December 31, 2005
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
DENVER, CO
Past
October 20, 2003 - May 17, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
BD
CRD#: 104162
BOLINGBROOK, IL
Past
March 27, 2003 - October 23, 2003
WORLDCO, L.L.C.
BD
CRD#: 24673
NEW YORK, NY
Past
October 21, 2002 - January 16, 2003
FIRST NEW YORK SECURITIES L.L.C.
BD
CRD#: 16362
NEW YORK, NY
Past
April 29, 2002 - May 30, 2002
RYAN BECK & CO.
BD
CRD#: 3248
FLORHAM PARK, NJ
Past
February 9, 2000 - May 13, 2002
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
May 20, 1999 - February 29, 2000
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(11/29/2022)
RR
Florida(3/19/2024)
RR
Illinois(4/1/2021)
RR
New Jersey(9/30/2019)
IAR
New Jersey(10/1/2019)
RR
New York(4/27/2019)
IAR
New York(5/7/2021)
RR
Ohio(8/16/2023)
RR
Texas(2/23/2023)
IAR
Texas(2/27/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/28/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/11/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product 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.
