WC
William D. Cottrell
TRANSAMERICA FINANCIAL ADVISORS | Investment Advisor Representative
SO. JORDAN, UT 84095
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CRD#: 2229732
WC
Professional summary
William David Cottrell, who also goes by William David Cottrel, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in So. Jordan, Utah.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. William 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
William David Cottrel
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 | 11/2022 | investment related | approved co-brand company through WFGIA | Johns Creek, GA | marketing Managed Wealth Financial | 01/2012 | approved co-brand company through WFGIA | investment related | South Jordan, Utah | marketing CALM CHOICE, 727 S. HIGH RIDGE CIRCLE, ALPINE UT 84004, NON INVETSMENT RELATED, START DATE 01/01/2013,I AM THE OWNER, PRESIDENT, AND CREATOR OF THE SOFTWARE IDEAS, 4HRS PER MONTH PROVIDENT LEGACY/NO/727 S. High Ridge Circle Alpine UT 84004/President / owner/1-01-2012/This is simply a flow through account for tax purposes
CRS (Client Relationship Summary) - RIA
Click below to view William David Cottrell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William David Cottrell'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
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 10653 S. River Front Pkwy. Suite 100 And 180, So. Jordan, UT 84095RIA
BD
CRD#: 16164
SO. JORDAN, UT
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 10653 S. River Front Pkwy. Suite 100 And 180, So. Jordan, UT 84095RIA
BD
CRD#: 16164
SO. JORDAN, UT
Past
May 11, 2007 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
OREM, UT
Past
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
OREM, UT
Past
June 6, 1994 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
May 11, 1992 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
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
Florida(11/26/2018)
RR
Idaho(1/6/2012)
RR
Michigan(11/22/2024)
RR
Pennsylvania(8/14/2014)
RR
South Carolina(6/11/2025)
RR
Texas(12/7/2017)
IAR
Texas(2/21/2018)
RR
Utah(1/6/2012)
IAR
Utah(1/6/2012)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
Investment Advisor RepresentativeCRD#: 16164So. Jordan, UT 84095TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
xxxxxxx
