William J. Sidders
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 John Sidders II, who also goes by Buz Sidders, William John Sidders, Jr, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1979. William had worked at 15 firms and has passed the Series 65, Series 63, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2012 - October 25, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 13, 2012 - October 30, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 10, 2012 - October 30, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 14, 2008 - November 30, 2011
INVESTMENT ADVISORS INTERNATIONAL, INC.
January 11, 2008 - November 30, 2011
WORLD GROUP SECURITIES, INC.
May 3, 1999 - December 21, 2001
AVANTAX INVESTMENT SERVICES, INC.
April 16, 1996 - March 29, 1999
NORTHRIDGE CAPITAL CORPORATION
July 24, 1995 - December 22, 1995
JOHN G. DREISBACH, INC.
September 14, 1993 - December 31, 1994
ADVANTAGE CAPITAL CORPORATION
April 12, 1991 - September 1, 1993
IFG NETWORK SECURITIES, INC.
June 19, 1989 - April 5, 1991
J.C. BRADFORD & CO.
January 3, 1989 - April 6, 1989
WINDSOR GROUP SECURITIES
July 20, 1987 - January 1, 1989
CENTURY PACIFIC PLACEMENT CORPORATION
February 3, 1987 - June 19, 1987
DOHN INVESTMENTS, INCORPORATED
May 11, 1984 - August 12, 1986
JOHN G. DREISBACH, INC.
August 8, 1983 - February 2, 1984
CENTURY PACIFIC PLACEMENT CORPORATION
January 3, 1983 - June 28, 1983
THE J. F. PERRY CORPORATION
December 10, 1979 - December 29, 1982
THOMSON MCKINNON 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 1
Date: 1/24/1973
Registered 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.
