Pei
Ooi

Transamerica Financial Advisors, Inc

CRD#2488135
Investment Advisor
in Pleasanton, CA

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About this Advisor

Pei Ooi is a financial advisor who works out of Pleasanton, California with 11 years of industry experience. Ooi currently works for Transamerica Financial Advisors, Inc. During their career, Ooi has held roles at Joy Luck Financial Group LLC, World Financial Group, Inc, Penney Enterprise, Inc, Giving Merchant, LLC, Global Merchant Innovations, LLC, Investment Property - 2Nd Home, Transamerica Financial Advisors, Inc, Dream Builder Financial Services Website, Associate Owners Group (Aog) and Clearwater Healthcare Benefits. Ooi has Series 63 and Series 65 licenses, which qualify them as both a securities agent and an investment advisor representative, and is approved to advise clients in California, New Jersey and Texas. Transamerica Financial Advisors, Inc is a financial advisory business that has its headquarters in Saint Petersburg, FL. The firm has offices in 286 locations and a total of 1,235 employees. It manages $2 billion in assets across its 59,659 customer accounts, placing it among the biggest investment advisory firms in the nation by assets under management. The firm provides services to 18 charitable organizations. Of its 59,659 client accounts, just 2% belong to high-net-worth investors who have at least $1 million in assets. Transamerica Financial Advisors, Inc performs a number of services, including portfolio management for individuals and small businesses, portfolio management for institutional clients, selection of other advisers and educational seminars. Financial management fees are based on which services are provided. However, fee types charged by Transamerica Financial Advisors, Inc typically consist of asset-based fees.

Certifications and Registrations

Series 63, Series 65

Years Registered*

11 years

Services Offered

Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Selection of other advisers, Educational seminars/workshops

Fee Structure

Percentage of Assets

Office Location

6700 Koll Center Pkwy Suite 160-P
Pleasanton, CA 94566

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Transamerica Financial Advisors, Inc Brokerage Details

Total Assets Under Management

$1,815,425,709

CA Average: $1,855,561,029
Total Number of Employees

1,235

CA Average: 62
Total Number of Accounts

59,659

CA Average: 2,474
Average Account Size

$30,430

CA Average: $750,025

Investment Advisory Services

  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Selection of other advisers
  • Educational seminars/workshops

Pei Ooi Work History

Pei has been registered as a financial advisor for 11 years.*

2022 - Present (2 years)

Clearwater Healthcare Benefits

2020 - Present (4 years)

Dream Builder Financial Services Website

2012 - Present (12 years)

Transamerica Financial Advisors, Inc

2010 - Present (14 years)

Investment Property - 2Nd Home

2001 - Present (23 years)

World Financial Group, Inc

2001 - Present (23 years)

Penney Enterprise, Inc

2019 - 2022 (3 years)

Associate Owners Group (Aog)

2010 - 2021 (11 years)

Giving Merchant, LLC

2010 - 2021 (11 years)

Global Merchant Innovations, LLC

2002 - 2015 (13 years)

Joy Luck Financial Group LLC

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Pei Ooi to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Transamerica Financial Advisors, Inc

Michael Burns
Braintree, MA
Tarl Reynoso
Orem, UT
David Winn
Bridgeport, MI
Edward Peterson
Plano, TX
Qi Dong
Plano, TX
James Shoblo
Colorado Springs, CO
Chad Tacia
San Antonio, TX
Diego Conejo
Pasadena, CA

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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