Serria Rego
Serria Rego is a registered investment advisor at Transamerica Financial Advisors, LLC, based in Woodland Hills, CA, with 18 years of industry experience. Serria operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 42,440 clients with $1.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Transamerica Financial Advisors (TFA) offers several investment management programs, including:
- Third-Party Money Management Programs: TFA Advisors can connect you with third-party money managers (TPMMs) who manage model portfolios. Fees are specific to the TPMM you select.
- Transamerica® ONE Wealth Management Platform: This is a wrap fee program with a single fee for services. The total annual program fee does not exceed 2.0%.
- Transamerica® ALPHA Digital Investment Program: This program uses Betterment's platform. The total annual advisory fee ranges from 0.65% to 0.95%.
- TFA365 Advisory Program: This is a wrap fee program. The total annual program fee does not exceed 2.75%. A minimum annual account fee applies to accounts that fall below the program account minimum. For the Strategist Program and the Unified Managed Account Program, the minimum annual account fee is $35 (account minimum: $25,000). For the Separately Managed Account Program, the minimum annual account fee is $150 (account minimum: $100,000).
Location
21550 Oxnard Street, Suite 470, Woodland Hills, CA, 91367
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Serria sells insurance and non-insurance products for companies affiliated with Transamerica Financial Advisors, Inc.
Employment History
Current Registrations
Transamerica Financial Advisors, LLCBroker
Transamerica Financial Advisors, LLC
Previous Registrations
Waddell & Reed, INC.Broker
Waddell & Reed, INC.
Edward Jones
Edward JonesBroker
TD Waterhouse Investor Services, INC.Broker
State Registrations15 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.