DF
Dali Fu
TRANSAMERICA FINANCIAL ADVISORS
Houston, TX 77036
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CRD#: 7235922
DF
Professional summary
Dali Fu, CFP® is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Houston, Texas.
Dali is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Dali has worked at 1 firm and has passed the Series 65, Series 63, Series 6TO, SIE and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. Kyros AI Corp / 0721-Present / Investment Related: No / 622 Loma Verde Avenue Palo Alto , CA 94306 / College Success Advisor/ College prep platform AI. / Hrs. Work Monthly: 4 / Sec Trading Hrs.: 0 / My duty will be involved to introduce the Kyros product to potential customers, invite them and their kids for the seminars regarding college preparation and application, ans assist the enrollment into the program if they are interested. SMART CHOICE AGENTS POSITION: independent agent NATURE: P&C insurance sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 11/05/2024 ADDRESS: 4121 Beechwood Dr, Greensboro NC 27265, United States DESCRIPTION: Access many P&C carriers through this platform, to provide my clients the P&C insurance solutions. Duties includes prospecting, information gathering, quoting, sales, and services. FIRST CONNECT INSURANCE POSITION: independent agent NATURE: P&C insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 11/04/2024 ADDRESS: 701 E 5th Street, Austin TX 78701, United States DESCRIPTION: This is a platform I can connect to more than 20 P&C insurance carriers. There is no start up fee and any production requirement. It is just a platform to connect to carriers and manage commission from Carriers. I will work independently using this platform. G. ZAIBAQ INSURANCE AGENCY INC. POSITION: referral NATURE: P&C insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 11/04/2024 ADDRESS: 800 Bonaventure Way, STE 117, Sugar Land TX 77479, United States DESCRIPTION: I will refer my P&C client to this agency, but not exclusively. I will carry my own E&O in P&C line of insurance business, perform communicate and prospect clients for P&C business. The agency will conduct the quoting, binding and communication with insurance carriers. LUCKY AGENCY POSITION: owner NATURE: P&C insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 4 START DATE: 12/05/2024 ADDRESS: 6200 Savoy Dr, STE 701, Houston TX 77036, United States DESCRIPTION: P&C insurance quote, communicate with clients and bind, services.
CRS (Client Relationship Summary) - RIA
Click below to view Dali Fu's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dali Fu'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®
Experience
Current
June 8, 2020 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 6200 Savoy Dr #701, Houston, TX 77036RIA
BD
CRD#: 16164
Houston, TX
Current
March 9, 2020 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 6200 Savoy Dr #701, Houston, TX 77036RIA
BD
CRD#: 16164
Houston, 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(9/15/2020)
RR
Florida(8/11/2022)
RR
Massachusetts(8/11/2022)
RR
New Hampshire(9/15/2020)
RR
North Carolina(5/14/2024)
IAR
North Carolina(5/29/2024)
RR
Texas(3/16/2020)
IAR
Texas(6/8/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 3/8/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory 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#: 16164Houston, TX 77036TRUST BUT VERIFY
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