WL
Wei Li
TRANSAMERICA FINANCIAL ADVISORS
Waltham, MA 02451
Some features on this profile are disabled
CRD#: 6877980
WL
Professional summary
Wei Li, who also goes by Rachel W Li, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Waltham, Massachusetts.
Wei is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Wei has worked at 1 firm and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rachel W Li
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. 73-75 SUMMER STREET LLC POSITION: 50% partner NATURE: Rental Property- Two Family INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/24/2017 ADDRESS: 20 Ware Road, Winchester MA 01890, United States DESCRIPTION: Perform normal landlord responsibilities in managing a rental property. 44-46 MYSTIC RIVER ROAD RENTAL POSITION: Sole Owner of the property NATURE: Rental Proerty INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 07/16/2021 ADDRESS: 20 Ware Road, Winchester MA 01890, United States DESCRIPTION: Perform all duties and responsibilities of a landlord. FPM LLC POSITION: Chief Financial Officer NATURE: Real Estate Development. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2020 ADDRESS: 276 Adams Street, DORCHESTER MA 02122, United States DESCRIPTION: Responsible for managing and reporting on all financial/accounting activities. Bilingual CPA Group LLC (1) POSITION: Partner NATURE: Accounting, Tax & Insurance Services INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2018 ADDRESS: 10 Tower Office Suite 305, Woburn MA 01801, United States DESCRIPTION: I am responsible to build and maintain relationships with clients to provide accounting, tax and insurance services.
CRS (Client Relationship Summary) - RIA
Click below to view Wei Li's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Wei Li'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
December 18, 2017 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 230 2nd Ave. 2nd Floor Suite 204, Waltham, MA 02451RIA
BD
CRD#: 16164
Waltham, MA
Current
January 2, 2018 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 230 2nd Ave. 2nd Floor Suite 204, Waltham, MA 02451RIA
BD
CRD#: 16164
Waltham, MA
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
Florida(8/18/2025)
RR
Maine(3/30/2020)
IAR
Massachusetts(12/18/2017)
RR
Massachusetts(1/2/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/10/2025
General Securities Representative ExaminationGeneral 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)
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
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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164Waltham, MA 02451TRUST BUT VERIFY
Monitor Wei Li
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
