YS
Ying Shi
TRANSAMERICA FINANCIAL ADVISORS
Redwood City, CA 94065
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CRD#: 7620803
YS
Professional summary
Ying Shi, who also goes by Tina Shi, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Redwood City, California.
Ying is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Ying 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
Tina Shi
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 STANFORD UNIVERSITY/Investment Related - No/616 Jane Stanford Way RM E401, Stanford, CA 94305 650-723-4581/Stanford is a private research university located in California./associate director/05.2019/160/160/program administration - managing events to promote Stanford faculty's research work to the alum community. KIWI DROP INC/Investment Related - No/650 858 1226, 440 Monroe Dr, Palo Alto, CA4305/the company aspire to connect small business owners around the world with made from China merchandise, and helping them to sell leveraging social media and live broadcasting. business started in late 2021./independent board member/07.2021/5/1/signing off board resolutions, helping to hire key people 996 PARTNERS LLC/Investment Related - No/3377 St Michael Drive, Palo Alto, CA 94306. 650-206-8286/pass through entity for tax purpose/member/2.2021/5/5/member of LLC
CRS (Client Relationship Summary) - RIA
Click below to view Ying Shi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ying Shi'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
October 25, 2022 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 390 Bridge Pkwy.,#250, Redwood City, CA 94065RIA
BD
CRD#: 16164
Redwood City, CA
Current
September 23, 2022 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 390 Bridge Pkwy.,#250, Redwood City, CA 94065RIA
BD
CRD#: 16164
Redwood City, CA
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(10/10/2022)
IAR
California(10/25/2022)
RR
New Jersey(4/4/2023)
IAR
New Jersey(4/4/2023)
RR
New York(8/8/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 9/23/2022
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#: 16164Redwood City, CA 94065TRUST BUT VERIFY
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