SL
Sinwai S. Lee
TRANSAMERICA FINANCIAL ADVISORS
Greenbelt, MD 20770
Some features on this profile are disabled
CRD#: 3232966
SL
Professional summary
Sinwai Sanri Lee, who also goes by Sin Wai Lee, Sin Wai Sanri Lee, Sin Wai Lee, Sinwai Sanri Lee, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Greenbelt, Maryland.
Sinwai is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Sinwai has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sin Wai Lee | Sin Wai Sanri Lee | Sin Wai Lee | Sinwai Sanri Lee
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. LIFESMART SENIOR SERVICES/Investment Related - No/790 Fletcher Dr, Suite 108, Elgin, IL 60123/Enroll Health insurance for senior friends and families as needed or by request./Agent/12.2022/6/6/Agent to sell Health Insurance for seniors. 218 NORTH FREDERICK LLC/Investment Related - No/13491 Allnutt Lane, Highland, MD 20777/This LLC business registered for buying property with business name instead of using individual for the benefit of Limited Liabilities./Owner/Founder/07.2022/2/2/Renting it out the property, collecting rent and paying all related fees for the property. BETTER TOMORROW AND MORE CORPORATION POSITION: President NATURE: Board member of a non-profit organization which design to provide educations for nutrition, health, computer use and application safety. INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 1 START DATE: 01/03/2023 ADDRESS: 438 N. Frederick Ave, Suite 218, Gaithersburg MD 20877, United States DESCRIPTION: My daily activities is to making phone call, text or email to invite nutritional professional, such as Dietitians and Nutritionist, to provide workshop at least once month. Besides, I also responsible to teach Qi Gong Class once twice a week and share my daily healthy diet with friends and families as needed. Aligned Benefits Group Inc/ 0917-Present / Investment Related: No /14117 Jones Bridge Road Upper Marlboro, MD 20774 /Sales Executive / Sales / Hrs. Work Monthly: 3 / Sec Trading Hrs.: 0 / Referral Business GS NATIONAL INSURANCE DBA GATEWAY STRATEGIES LLC POSITION: agent NATURE: Health Insurance agent INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 11/15/2025 ADDRESS: 300 Bilmar Drive, Pittsburgh PA 15205, United States DESCRIPTION: I contracted as an agent to help my friends and families to enrolled to Medicare Advantage health plans as needed or by their request.
CRS (Client Relationship Summary) - RIA
Click below to view Sinwai Sanri Lee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sinwai Sanri Lee'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 30, 2025 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 7501 Greenway Center Drive Suite 1150, Greenbelt, MD 20770RIA
BD
CRD#: 16164
Greenbelt, MD
Current
February 19, 2025 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 7501 Greenway Center Drive Suite 1150, Greenbelt, MD 20770RIA
BD
CRD#: 16164
Greenbelt, MD
Past
March 13, 2018 - November 22, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
GREENBELT, MD
Past
March 15, 2016 - November 22, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
GREENBELT, MD
Past
January 6, 2012 - October 9, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
COLUMBIA, MD
Past
November 24, 2011 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
GAITHERSBURG, MD
Past
July 13, 1999 - May 22, 2001
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.
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
IAR
Maryland(1/30/2025)
RR
Maryland(2/19/2025)
IAR
Texas(1/30/2025)
RR
Texas(2/19/2025)
RR
Virginia(2/19/2025)
Exams
State Security Law Exam
State Security Law Exam
General 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.
