Roger Williams (CRD# 5585391) is an Investment Advisor Representative working at Transamerica Financial Advisors, Inc. in Madison, WI and has over 15 years of experience in the finance industry.
CRD# 4902024
Wismed Financial, Inc.
CRD# 5525772
Ameriprise Financial Services, LLC
CRD# 4582706
Trustage Investment Management
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Wisconsin Advantage | Menasha, WI | Aug 2023 - Current | < 1 |
| M Partners Usa | Laurel, MD | Jun 2022 - Current | 1 |
| Wisconsin Badger Camp | Platteville, WI | Feb 2021 - Current | 3 |
| Transamerica Financial Advisors, Inc. | Madison, WI | Jan 2012 - Current | 12 |
| World Financial Group | Madison, WI | Jun 2008 - Current | 15 |
| Don Miller Pontiac Gmc Subaru, Inc. | Madison, WI | Jul 1988 - Sep 2021 | 33 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Apr 2009 |
| S65 | NASAA Investment Advisors Law Examination | Jun 2010 |
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, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- TX
- WI
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Total Assets Under Management1,619MILLIONS
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Total Number of Accounts45,001ACCOUNTS
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Average Account Value$35,987
- A percentage of assets under your management
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