Thomas Kay, financial advisor Winter Park FL
83 score

Thomas Kay

CRD Number: 1360575
Current Firm: Transamerica Financial Advisors, Inc.

Thomas Kay (CRD# 1360575) is an Investment Advisor Representative working at Transamerica Financial Advisors, Inc. in Winter Park, FL and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Transamerica Financial Advisors, Inc. Plant City, FL May 2017 - Current < 1
Humana Health Care Plans Louisville, KS Jun 2013 - Current 4
Washington National Insurance Company Carmel, IN Feb 2013 - Current 5
Safe Guard Dental New Port Richey, FL Apr 2004 - Current 14
Humana Health Insurance Jacksonville, FL Apr 2004 - Current 14
Aetna Insurance New Port Richey, FL Apr 2004 - Current 14
World Financial Group Plant City, FL Jun 2001 - Current 16
Transamerica Financial Advisors, Inc. Plant City, FL Jan 2012 - Dec 2016 4
Celtic Health Ins. Jacksonville, FL Apr 2004 - Dec 2013 9
Blue Cross & Blue Sheild Jacksonville, FL Apr 2004 - Dec 2013 9
Aflac Jacksonville, FL Apr 2004 - Dec 2013 9
Simply Health Care Coral Gables, FL Mar 2013 - Jun 2013 < 1
Universal Health Care St Petersburg, FL Aug 2012 - Mar 2013 < 1
Investment Advisors International, Inc. Lakeland, FL Nov 2008 - Jan 2012 3
World Group Securities Lakeland, FL Aug 2003 - Jan 2012 8
Various Health Corp Jackson, FL Jun 1999 - Feb 2010 10
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1985
S65 NASAA Investment Advisors Law Examination Nov 2008
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Thomas R. Kay
Phone Number: 727-299-1800
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    969
    MILLIONS
  • Total Number of Accounts
    14,750
    ACCOUNTS
  • Average Account Value
    $65,719
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • 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

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BADGES
83

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