AM
Apekshit Mulay
TRANSAMERICA FINANCIAL ADVISORS
Plano, TX 75093
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CRD#: 7062979
AM
Professional summary
Apekshit Mulay, who also goes by Apek Mulay, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Plano, Texas.
Apekshit is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Apekshit has worked at 1 firm and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Apek Mulay
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. The Enrollment Store| Referral Agent | Health Insurance Sales | not investment related | Plano TX | 11/2022 AirBNB Rental | rental Property | Dallas TX | investment related | owner/Landlord | renting and collecting rent | 04/2021 AirBNB Rental / 0421-Present / Investment Related: No /2612 Oak Bend Lane Dallas, TX 75227 / Landlord / Rental Property / Hrs Work Monthly: 30 / Sec Trading Hrs: 1 / Host guest looking for short term rental. MULAY'S CONSULTANCY SERVICES/Investment Related - No/Address from 05/2014 - 12/2018 is 17602 17th street Ste 102 #242, Tustin CA 92780 Address from 01/2019 - Present is 7000 Independence Pkwy, Ste 156 #200, Plano TX 75025/Offering consulting services for companies in technological sector, Offer consulting services to US government for economic revival/Principal Consultant/05.2014/10/0/Writing books, blogs and appearing on Radio shows and TV shows DALLAS FORT WORTH CHAPTER OF VISHWA HINDU PARISHAD OF AMERICA POSITION: Director of Marketing NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 04/22/2024 ADDRESS: 200 New Bond Street, Sugar Grove IL 60554, United States DESCRIPTION: As a non-profit organization, of VHP in Dallas Fort Worth. The chapter is newly formed, and I am taking responsibility as director of marketing to promote the chapter within Dallas. I will also be assisting in promoting financial literacy within the Hindu community through educational workshops and service work. CARVERTISE POSITION: Independent Contract Driver NATURE: Rideshare Advertising Company INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 2 START DATE: 07/31/2023 ADDRESS: 319 6th Ave, Wilmington, DE DE 19805, United States DESCRIPTION: I will just drive my car to work or wherever I go. I don't do anything else. Its a passive income for me. THE ENROLLMENT STORE POSITION: Referral Agent NATURE: Health Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 11/15/2022 ADDRESS: 6817 K Ave, Ste#104, Plan0 TX 75074, United States DESCRIPTION: Referring Clients to make commissions INSUBUY, LLC POSITION: Referring Agent NATURE: Health Insurance for visitors to USA INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 11/15/2022 ADDRESS: 4200 Mapleshade Ln, STE 200,, Plano TX 75093, United States DESCRIPTION: Referral clients to get health insurance Flying Metals/ 1123-Present / Investment Related: Yes /Robina, Australia / Director/ NA/ Hrs. Work Monthly: 0 / Sec Trading Hrs.: 0 / NA
CRS (Client Relationship Summary) - RIA
Click below to view Apekshit Mulay's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Apekshit Mulay'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
February 21, 2020 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 3242 Preston Road Suite 100, Plano, TX 75093RIA
BD
CRD#: 16164
Plano, TX
Current
April 1, 2019 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 3242 Preston Road Suite 100, Plano, TX 75093RIA
BD
CRD#: 16164
Plano, TX
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(8/1/2019)
RR
Florida(12/13/2024)
RR
New Jersey(9/19/2025)
RR
North Carolina(1/7/2025)
RR
Texas(4/26/2019)
IAR
Texas(2/21/2020)
RR
Virginia(6/11/2025)
RR
Washington(10/1/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 4/1/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164Plano, TX 75093TRUST BUT VERIFY
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