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GW

Guy A. Williams

Some features on this profile are disabled
CRD#: 2884297
GW

Professional summary

Guy Andrew Williams was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Guy is a previously registered financial advisor and started their career in finance in 1997. Prior to being barred, Guy had worked at 3 firms, which includes TRANSAMERICA FINANCIAL ADVISORS INC., NATHAN & LEWIS SECURITIES INC., SUNSET FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 19, 2003 - October 17, 2003

TRANSAMERICA FINANCIAL ADVISORS, INC.

RIA
CRD#: 3600
MESA, AZ
Past

May 17, 2000 - October 17, 2003

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
LOS ANGELES, CA
Past

January 25, 2000 - May 9, 2000

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY
Past

July 1, 1997 - January 21, 1999

SUNSET FINANCIAL SERVICES, INC.

BD
CRD#: 3538
KANSAS CITY, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/11/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/11/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/16/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/18/1997
Investment Company Products/Variable Contracts Representative Examination

Current Firm

TF
TRANSAMERICA FINANCIAL ADVISORS, INC.
TRANSAMERICA FINANCIAL RESOURCES | TRANSAMERICA FUND SALES, INC. | TRANSAMERICA FINANCIAL RESOURCES, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600 / SEC#: , 8-13621

BD
Terminated by SEC on 11/03/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 08/25/1967
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TRANSAMERICA INTERNATIONAL HOLDINGS, INC.OWNER
CHUANG, GEORGE CHUWANGPRESIDENT, DIRECTOR3162477
CHUANG, GEORGE CHUWANGSENIOR VICE PRESIDENT & TREASURER3162477
FLEWELLEN, JAMES MARTINDIRECTOR1574411
GOK, LISA ANNEVICE PRESIDENT, CHIEF COMPLIANCE OFFICER5059738
KILBANE, KENNETH PATRICKDIRECTOR3187382
PERRY, KAREN BARNETTVICE PRESIDENT3035933
RIDER, KERRY KEARNSSECRETARY2166195
TATE, WILLIAM HARTWELLDIRECTOR1761315
TRIVERS, DAN SHANESENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER1948553

Disclosures

Regulatory Event1
Arbitration2

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, INC.

CRD#: 3600

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