Theodore D. Williamson
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.
Theodore Douglas Williamson, who also goes by Ted Williamson Jr, Theodore Douglas Williamson Jr, Theodore Douglas Jr Williamson, was a registered financial advisor .
Theodore is a previously registered financial advisor and started their career in finance in 1983. Theodore had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7 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 9, 2021 - March 27, 2023
TRANSAMERICA CAPITAL, LLC
January 30, 2017 - September 18, 2019
GLOBAL ATLANTIC DISTRIBUTORS, LLC
March 24, 2006 - March 12, 2009
AST INVESTMENT SERVICES, INC.
March 7, 2003 - March 24, 2004
AMERICAN SKANDIA ADVISORY SERVICES, INC.
March 1, 2001 - March 12, 2009
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
November 30, 1990 - January 11, 2000
PRUDENTIAL EQUITY GROUP, LLC
June 22, 1983 - May 25, 1984
METROPOLITAN LIFE INSURANCE COMPANY
June 22, 1983 - December 7, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 CAPITAL, LLC
CRD#: 8217 / SEC#: , 8-24829
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUSA HOLDING, LLC | PARENT | |
| ACKERMAN, TIMOTHY LEON | DIRECTOR | 2311523 |
| BEITZEL, BRIAN | DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER | 6183770 |
| CARNEY, ROBERT DONALD | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | 6747924 |
| HALLORAN, MARK FRANCIS | DIRECTOR | 1128889 |
| HELLERMAN, DOUGLAS | CHIEF COMPLIANCE OFFICER | 4696681 |
Disclosures
| Regulatory Event | 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.
