William D. Wilsey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Dennis Wilsey, who also goes by Willmiam Dennis Wilsey, William D Wisley, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 9 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2009 - December 31, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 31, 2003 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 11, 2002 - October 31, 2003
ZAHORIK COMPANY, INC.
January 19, 2001 - May 22, 2002
SECURITY DISTRIBUTORS
August 10, 2000 - November 30, 2000
PENSION PLANNERS SECURITIES, INC.
November 7, 1996 - April 24, 2000
MM ASCEND LIFE INVESTOR SERVICES, LLC
October 11, 1993 - October 18, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 11, 1993 - October 18, 1996
OSAIC FA, INC.
September 16, 1987 - September 29, 1993
THE VARIABLE ANNUITY MARKETING COMPANY
January 27, 1982 - September 29, 1993
THE VARIABLE ANNUITY MARKETING COMPANY
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
