FW
Frederick D. Williams
TRANSAMERICA FINANCIAL ADVISORS
Torrance, CA 90501
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CRD#: 5841491
FW
Professional summary
Frederick Douglas Williams, who also goes by Fred Williams, Frederick D Williams, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Torrance, California.
Frederick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Frederick has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Fred Williams | Frederick D Williams
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. New Life Global Development Inc. /0519-Present / Investment Related: Yes/ 1437 Centinela Ave. suite c, Inglewood, CA 90302/Financial Analyst/ NLGD consults in the development and Management of Homeless housing and services/ Hrs Work Monthly: 40/ Sec Trading Hrs: 2 / I analyze the profitability of potential projects. Netaw / 0114-Present/ Investment Related: No/12910 Shelbyville Rd, Suite 124, Louisville, KY 40243/Agent / Truste and will and related products / Hrs Work Monthly: 4/ Sec Trading Hrs: 0 / Sell products RUNRIGHT INSURANCE SERVICES/YES, INVESTMENT RELATED/1201 N LABREA AVE INGLEWOOD, CA 90302/HOME, LIFE & COMMERCIAL BUSINESS INSURANCE/PARTNER-BROKER/12.2005/5/5/SUPPORT EXISTING COMMERCIAL CLIENTS AND SET UP ANY NEW REQUESTED POLICIES. RUNRIGHT REALTY/YES, INVESTMENT RELATED/2033 W 84TH PL LOS ANGELES, CA 90047 313-759-1017/PROVIDE ASSISTANCE TO CLIENTS WHO WANT TO BUY OR SELL SFR AND MULTI-UNIT BUILDINGS/I ALSO WORK WITH COMMERCIAL PROPERTIES/I HAVE BEEN LICENSED SINCE 197/BROKER/3.2003/80/60/RESPONSIBLE FOR ALL ASPECTS OF THE OPERATIONS OF THIS OBA/THIS IS CURRENTLY A STAND ALONE OPERATION/I MAY OPEN A BRANCH OFFICE WITH A BUSINESS PARTNER IN 2013 COVERED CA - AFFORDABLE CARE ACT; NOT INVESTMENT-RELATED; 2033 W 84TH PL, LOS ANGELES, CA 90047; PROVIDING HEALTH CARE INSURANCE THROUGH COVERED CALIFORNIA; INDEPENDENT HEALTH INSURANCE AGENT; 9/30/13; 40-80 HRS/MONTH; PROVIDING EXPERTISE ON AVAILABLE HEALTH CARE OPTION AVAILABLE THROUGH COVERED CA TO INDIVIDUALS AND SMALL BUSINESSES APPLIED GENERAL AGENCY /1117 TO PRESENT/ INVESTMENT RELATED: NO /6279 E. SLAUSON AVE. STE 205 COMMERCE, CA 90040/AGENT/MEDICARE SALES / hrs work monthly: 40/Sec trading hrs: 4 /MEETING WITH INTERESTED BENEFICIARIES OF MEDICARE AND PROVIDING ALTERNATIVE MEDICAL ADVANTAGE PLANS AND SUPPLEMENT PLANS
CRS (Client Relationship Summary) - RIA
Click below to view Frederick Douglas Williams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frederick Douglas Williams'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 30, 2013 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 21221 S Western Ave Suite 110, Torrance, CA 90501RIA
BD
CRD#: 16164
Torrance, CA
Current
February 11, 2013 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 21221 S Western Ave Suite 110, Torrance, CA 90501RIA
BD
CRD#: 16164
Torrance, CA
Past
May 2, 2012 - October 19, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
TORRANCE, CA
Past
January 6, 2012 - October 19, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
TORRANCE, CA
Past
September 27, 2010 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
CHINO, CA
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
IAR
California(1/30/2013)
RR
California(2/12/2013)
RR
Massachusetts(9/29/2025)
RR
Texas(7/3/2024)
IAR
Texas(7/3/2024)
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.
