Zhong Shi, financial advisor Alviso CA
96 score

Zhong Shi

CRD Number: 4611409
Current Firm: Transamerica Financial Advisors, Inc.

Zhong Shi (CRD# 4611409) is an Investment Advisor Representative working at Transamerica Financial Advisors, Inc. in Alviso, CA and has over 13 years of experience in the finance industry. Zhong Shi has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Covered Ca Alviso, CA Dec 2013 - Current 3
Heartland Institute Of Financial Education A Non-profit Organiza Aurora, CO Dec 2013 - Current 3
Hife College Funding Aurora, CO Aug 2012 - Current 4
Transamerica Financial Advisors, Inc. Alviso, CA Jan 2012 - Current 4
Zhong Shi & Associates San Jose, CA Oct 2011 - Current 5
Gold Team LLC Alviso, CA Nov 2004 - Current 12
World Finacial Group Alviso, CA Nov 2002 - Current 14
Investment Advisors International Alviso, CA Jul 2006 - Jan 2012 5
World Group Securities, Inc. Alviso, CA Dec 2002 - Jan 2012 9
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 2003
S65 NASAA Investment Advisors Law Examination Feb 2006
Contact Info for Zhong Shi
Phone Number: 727-299-1800
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    4,493
    MILLIONS
  • Total Number of Accounts
    33,842
    ACCOUNTS
  • Average Account Value
    $132,767
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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