Bart Williams
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.
Bart Williams, who also goes by Bart Rex Williams, Bart Williams, was a registered financial professional .
Bart is a previously registered financial professional and started their career in finance in 2002. Bart had worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2021 - November 29, 2022
TRANSAMERICA RETIREMENT ADVISORS, LLC
October 18, 2021 - November 29, 2022
TRANSAMERICA INVESTORS SECURITIES, LLC
July 13, 2018 - July 30, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 23, 2018 - July 13, 2018
STRATEGIC ADVISERS LLC
March 21, 2018 - July 29, 2020
FIDELITY BROKERAGE SERVICES LLC
May 9, 2012 - July 10, 2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 4, 2008 - July 10, 2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 23, 2007 - August 24, 2007
M&T SECURITIES, INC.
March 23, 2007 - August 24, 2007
M&T SECURITIES, INC.
August 3, 2006 - March 15, 2007
SIGNATOR INVESTORS, INC.
January 5, 2005 - March 15, 2007
SIGNATOR INVESTORS, INC.
September 24, 2002 - August 10, 2004
COMMONWEALTH FINANCIAL NETWORK
September 13, 2002 - August 10, 2004
COMMONWEALTH FINANCIAL NETWORK
July 17, 2002 - October 15, 2002
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
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
Current Firm
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 212,836 |
| AUM (Assets Under Management) | $ 16,157,423,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2025 | ||
| 10/25/2024 | ||
| 07/25/2023 |
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.
