Maik C. Kontos

Some features on this profile are disabled

CRD#: 5844650

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Maik Chris Kontos, who also goes by Maik Kontos, Maik C Kontos, Maik Chris Kontos, Mike Chris Kontos, was a registered financial professional .

Maik is a previously registered financial professional and started their career in finance in 2010. Maik had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Maik Kontos | Maik C Kontos | Maik Chris Kontos | Mike Chris Kontos

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 EXP Realty / 1121-Present / Investment Related: Yes / 503 New Jersey 71 Spring Lake, NJ 07762 / Salesperson / Real Estate Sales / Hrs. Work Monthly: 5 / Sec Trading Hrs: 0 / I am looking to sell our homes that we build through Kontos Construction and to listed as a salesperson so we can save on the commission. KONTOS CONSTRUCTION/Investment Related - No/40 oakwood avenue, woodbridge, nj 07095/Building and remodel of existing homes and new homes/secretary/01.2016/5/0/secretatory work and filing invoices TFK GROUP, LLC/Investment Related - No/40 Oakwood Avenue, Woodbridge, NJ 07095/a marketing arm of the restaurant that we own/partner/05.2015/2/0/none, just oversee operations CHRIS MICHAELS STEAKHOUSE/Investment Related - No/40 Oakwood Avenue/Restaurant and Bar/Owner and General Manager/10.2006/20/0/Run the day to day operations and oversee the other managers KONTOS INSURANCE GROUP/Investment Related - Yes/40 Oakwood Avenue, Woodbridge, NJ 07095/sell property and casualty insurance/partner/11.2018/3/0/sell and service policies NORTH EAST RISK MANAGEMENT/Investment Related - Yes/50 S 21st St, Kenilworth, NJ 07033/sell and service property and casualty insurance products/producer/10.2015/5/0/sell and service

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 19, 2021 - June 24, 2022

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

SHORT HILLS, NJ

Past

January 19, 2021 - June 24, 2022

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

SHORT HILLS, NJ

Past

June 15, 2017 - January 31, 2019

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

WOODBRIDGE, NJ

Past

June 9, 2017 - January 31, 2019

EQUITABLE ADVISORS, LLC

CRD#: 6627

WOODBRIDGE, NJ

Past

June 17, 2014 - January 8, 2016

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

EDISON, NJ

Past

June 16, 2014 - January 8, 2016

EQUITABLE ADVISORS, LLC

CRD#: 6627

EDISON, NJ

Past

June 28, 2012 - January 29, 2014

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

EDISON, NJ

Past

June 28, 2012 - January 29, 2014

EQUITABLE ADVISORS, LLC

CRD#: 6627

EDISON, NJ

Past

January 12, 2012 - June 12, 2012

NATIONAL SECURITIES CORPORATION

CRD#: 7569

ISELIN, NJ

Past

February 24, 2011 - September 12, 2011

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

EDISON, NJ

Past

October 14, 2010 - September 12, 2011

EQUITABLE ADVISORS, LLC

CRD#: 6627

EDISON, NJ

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".

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/14/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/13/2010

General Securities Representative Examination

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV, PART 2A (10/6/2025)

TRANSAMERICA ELITE WEALTH MANAGEMENT PLATFORM PROGRAM - APPENDIX (10/6/2025)

TRANSAMERICA FINANCIAL ADVISORS, INC., FORM ADV PART 2A, APPENDIX 1 (3/28/2025)

TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV PART 2A, APPENDIX 1 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
AUSA HOLDING, LLC	OWNER
BARRY, MICHELLE ANNE	DIRECTOR, PRESIDENT, CEO	2744539
BEITZEL, BRIAN	DIRECTOR, CHIEF FINANCIAL OFFICER	6183770
COSTELLO, ROBERT	CHIEF OPERATIONS OFFICER	1349716
KRAMER, CHRISTINA D	CHIEF COMPLIANCE OFFICER	4406871
TJOA, NATHANIEL	CHIEF SUPERVISORY OFFICER	4667709

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Maik C. Kontos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRANSAMERICA FINANCIAL ADVISORS, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

NATIONAL SECURITIES CORPORATION

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

TRANSAMERICA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/14/2011

SIE

Date: 10/1/2018

Series 7

Date: 10/13/2010

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

Contact information

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

Disclosures

Red Flags

Company Information

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors