William L. Hansen
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 Lawrence Hansen, who also goes by Bill Hansen, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1991. William had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 62, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2012 - July 30, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 1, 2006 - January 6, 2012
WORLD GROUP SECURITIES, INC.
May 6, 2005 - October 10, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
May 5, 2005 - March 22, 2006
IDS LIFE INSURANCE COMPANY
May 5, 2005 - March 22, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
November 8, 2000 - October 30, 2003
1717 CAPITAL MANAGEMENT COMPANY
October 1, 2000 - December 11, 2000
WELLS FARGO CLEARING SERVICES, LLC
January 14, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
June 19, 1992 - September 15, 1998
H.J. MEYERS & CO., INC.
September 26, 1991 - April 11, 1992
CHELSEA STREET SECURITIES, INC.
August 7, 1991 - September 6, 1991
PACIFIC SOUTHERN SECURITIES, INC.
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
Series 62
Date: 7/12/1991
Corporate Securities Limited Representative ExaminationCurrent 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.
