Roger Williams, financial advisor Madison WI
73 score

Roger Williams

CRD Number: 5585391
Current Firm: Transamerica Financial Advisors, Inc.

Roger Williams (CRD# 5585391) is an Investment Advisor Representative working at Transamerica Financial Advisors, Inc. in Madison, WI and has over 7 years of experience in the finance industry.

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Company Name Location Dates Years
Transamerica Financial Advisors, Inc. Madison, WI Jan 2012 - Current 4
World Financial Group Madison, WI Jun 2008 - Current 8
Don Miller Pontiac Gmc Subaru, Inc. Madison, WI Jul 1988 - Current 28
Transamerica Financial Advisors, Inc. Madison, WI Jan 2012 - Jan 2012 < 1
Invesentment Advisors International Madison, WI Aug 2010 - Jan 2012 1
World Group Securities, Inc. Madison, WI Jan 2009 - Jan 2012 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 2009
S65 NASAA Investment Advisors Law Examination Jun 2010
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:
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Roger L. Williams
Phone Number: 727-299-1800
Registered State(s):
  • WI
By the Numbers
  • Total Assets Under Management
    4,493
    MILLIONS
  • Total Number of Accounts
    33,842
    ACCOUNTS
  • Average Account Value
    $132,767
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • 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
  • Other
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
73

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