Albert Kie Tat Law

Employer firm

Transamerica Financial Advisors, LLC CRD 16164

$2.11B regulatory AUM

Reported services (Item 5G)

• Portfolio management (individuals)
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2001 → Present
  Wfgia
  Santa Clara, CA
• 09/2006 → Present
  Matrix Group Insurance Agency
  Santa Clara, CA
• 01/2012 → Present
  Transamerica Financial Advisors, Llc
  Santa Clara, CA
• 09/2017 → Present
  Silicon Valley Enterprise Inc
  Santa Clara, CA
• 05/2020 → Present
  Dream Builder Financial
  Santa Clara, CA

Previous Registrations

• 2006-09-06 → 2012-01-06
  Investment Advisors International, Inc.
  Santa Clara, CA
  Santa Clara, CA

Other Businesses

Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. SILICON VALLEY ENTERPRISE INC; 9/1/2017; INVESTMENT RELATED-NO; MEMBER; 3375 SCOTT BLVD STE 300 SANTA CLARA CA 95054; HOURS 1; A C-CORP PROTECTS OUR PERSONAL ASSET AND ALSO AVOIDS THE NEED OF EACH OF US TO HAVE LIABILITY INSURANCE; NO OTHER ACTIVITIES OTHER THAN A LEGAL ENTITY TO SIGN A COMMERCIAL LEASE FOR OUR OFFICE RENTAL; APPROVED WITH RESTRICTIONS Matrix Group Insurance Agency / 0906-Present / Investment related: No / Santa Clara, CA/ Marketing/Health Insurance / Hrs Work Monthly: 30-50% / Sec Trading Hrs: 10% / Marketing of group health - Dental - Vision

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-08-11
• S63 Uniform Securities Agent State Law Examination
  1995-08-21