Mark A. Winsor
TRANSAMERICA FINANCIAL ADVISORS | Investment Advisor Representative
LAWRENCEBURG, KY 40342
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CRD#: 2124151
Professional summary
Mark Allen Winsor, who also goes by Steele Winsor, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Lawrenceburg, Kentucky.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Mark has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steele Winsor
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. Wealthwave | WFGIA Co-brand company | marketing | 01/25/2016 | yes investment related | 6475 East Johns Crossing, Johns Creek, GA 30097 Winsor Law Firm, PLC. dba Winsor Law Online/ 0418-Present / Investment Related: No /7373 East Doubletree Ranch, Suite 200, Scottsdale, Az 85258 / Owner / Legal Service / Hrs Work Monthly: 40 / Sec Trading Hrs: 2 / Overseeing Attorneys, Meeting Clients Regarding Legal Matters Professional School for Continued Education / 13805 N 111th Ave, Sun City Az 85351/Instructor/ Teaches Real Estate Related Classes Windsor & Higgins, Plc / 0119-Present / Investment Related: No /15331 W. Bell Rd. Suite 212, Surprise, Az 85274 / Owner / Legal Services / Hrs Work Monthly: 40 / Sec Trading Hrs: 2 / Overseeing Attorney's And Meeting With Clients Regarding Legal Matters. Call Winsor Realty / 0719 To Present/ Investment Related: Yes /: 2208 W El Moro Ave Mesa, Az 85202 / Owner /: Real Estate Sales And Ce / Hrs Work Monthly: 1/Sec Trading Hrs: 0/ No Daily Activity. It Is There As A Place To Hang My Real Estate License And Send The Occasional Referral To. Justin Call Is The Day To Day Owner. PREVENTIA LEGAL COUNSELORS, PLC POSITION: OWNER - ATTORNEY NATURE: Legal Services INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2002 ADDRESS: 1237 S. Val Vista Dr., Mesa AZ 85204, United States DESCRIPTION: Provide legal services to clients.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Allen Winsor's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Allen Winsor'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
December 16, 2015 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 107 W Woodford St, Lawrenceburg, KY 40342RIA
BD
CRD#: 16164
LAWRENCEBURG, KY
Current
July 14, 2014 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 107 W Woodford St, Lawrenceburg, KY 40342RIA
BD
CRD#: 16164
LAWRENCEBURG, KY
Past
April 12, 2002 - May 14, 2004
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
June 6, 1994 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
October 27, 1992 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
December 10, 1991 - October 5, 1992
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
April 8, 1991 - November 29, 1991
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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
Arizona(8/8/2014)
IAR
Arizona(12/16/2015)
RR
California(10/15/2014)
RR
Colorado(6/28/2024)
RR
Kansas(10/16/2023)
RR
Kentucky(5/29/2020)
IAR
Kentucky(10/8/2020)
RR
Minnesota(10/31/2024)
RR
New Jersey(10/18/2024)
IAR
New Jersey(10/18/2024)
RR
New Mexico(10/11/2023)
RR
North Carolina(1/10/2025)
RR
Utah(10/15/2014)
RR
Washington(10/15/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
Investment Advisor RepresentativeCRD#: 16164Lawrenceburg, KY 40342TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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