Lucy Kwok, financial advisor Burlingame CA

Lucy Kwok

CRD Number: 6752496
Current Firm: Transamerica Financial Advisors, Inc.

Lucy Kwok (CRD# 6752496) is an Investment Advisor Representative working at Transamerica Financial Advisors, Inc. in Burlingame, CA and has over 4 years of experience in the finance industry.

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Wealth & Tax Planners
Company Name Location Dates Years
Lucy C Kwok San Francisco, CA Oct 2021 - Current < 1
Transamerica Financial Advisors, Inc. Burlingame, CA Jan 2017 - Current 4
World Financial Group, Inc. Burlingame, CA Dec 2014 - Current 7
Kelvin W Hall Dds San Francisco, CA Jun 2001 - Mar 2020 18
Uber San Francisco, CA Aug 2018 - Dec 2019 1
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Oct 2017
S63 Uniform Securities State Law Examination May 2017
Contact Info for Lucy Kwok
Phone Number: 727-299-1800
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    2,071
    MILLIONS
  • Total Number of Accounts
    52,745
    ACCOUNTS
  • Average Account Value
    $39,264
Compensation Options
  • A percentage of assets under your management
  • Commissions
Advisory Services Offered
  • 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
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, WY

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