Andrew Shiu Ming Kom
How is this counted?
Counted from the earlier of the person's first job or first state securities exam on their SEC record (currently the Series 63, 65 or 66). The SIE, futures exams and earlier firm registrations are not counted. The count runs to the end of their latest job, or this year if a job is still open. It includes every employer listed, even outside investment work, and any gaps between jobs. The SEC record lists jobs held in about the last 10 years, so jobs that ended before then are not counted. Years are counted by calendar year, so the figure can run up to a year high. This is not a measure of skill or quality.
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Services the firm offers
These describe the firm as a whole, not only this advisor.
Experience
14 years since the first job or state securities exam on the SEC record. Counts all jobs listed.
- Ruan LegacyAug 2016 to now
- Transamerica Financial Advisors, Inc.Apr 2013 to now
- Heartland Insitute of Financial EducationSep 2012 to now
- World Financial Group, Inc.Mar 2012 to now
- Kyros.aiJun 2022 to Oct 2026
- Sharedworld Learning CenterOct 2018 to Jan 2021
- At Choice Property Management LLCSep 2016 to Dec 2021
- Think Tank LearningSep 2016 to Sep 2018
- Covered CaNov 2013 to Sep 2018
- Ecopea IncOct 2013 to Oct 2021
- Blue Shield of CaliforniaDec 2012 to Sep 2018
- HealthnetAug 2012 to Sep 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2013
- Series 65 · Uniform Investment Adviser Law2015
State registrations
Registered as an investment adviser representative in 3 states (CA, NJ, TX).
Transamerica Financial Advisors, LLC
Official records
Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- 6180862
- 16164