WS
William Spruill
TRANSAMERICA FINANCIAL ADVISORS
Ellicott City, MD 21042
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CRD#: 1962369
WS
Professional summary
William Spruill, who also goes by William III Spruill, William Spruill III, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Ellicott City, Maryland.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. William has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William Iii Spruill | William Spruill Iii
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. UBER / 08/14-Prnt/ Investment Related: No /3623 Cottage Ave Baltimore, MD 21215/Driver/ Rideshare Service / Hrs. Work Monthly: 100 / Sec Trading Hrs.:0 / Driving UBER POSITION: Driver NATURE: Rideshare INVESTMENT RELATED: No NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 3 START DATE: 09/01/2014 ADDRESS: 1515 Third St, San Francisco CA 94158, United States DESCRIPTION: I perform rideshare duties- picking up and dropping off passengers. COLONIAL LIFE POSITION: None yet, but I will be a producer/broker NATURE: Group benefits provider INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 07/14/2025 ADDRESS: 1200 Colonial Life Blvd W, Columbia SC 29210, United States DESCRIPTION: Work with small businesses to offer group benefits (life/health/disability) to their employees
CRS (Client Relationship Summary) - RIA
Click below to view William Spruill's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Spruill's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 19, 2024 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 5072 Dorsey Hall Drive Suite 202, Ellicott City, MD 21042RIA
BD
CRD#: 16164
Ellicott City, MD
Current
August 8, 2024 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 5072 Dorsey Hall Drive Suite 202, Ellicott City, MD 21042RIA
BD
CRD#: 16164
Ellicott City, MD
Past
February 13, 2017 - November 15, 2017
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Washington, DC
Past
September 11, 2014 - November 15, 2017
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Washington, DC
Past
January 20, 1999 - October 7, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
ANNAPOLIS, MD
Past
November 17, 1998 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
November 17, 1998 - October 7, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
ANNAPOLIS, MD
Past
July 10, 1989 - October 26, 1989
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Maryland(8/19/2024)
IAR
Maryland(8/19/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/8/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
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.
