WC
William R. Carlson
TRANSAMERICA FINANCIAL ADVISORS
Fort Myers, FL 33907
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CRD#: 6853082
WC
Professional summary
William Rob Carlson is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Fort Myers, Florida.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. William has worked at 1 firm and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
"Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc." NET LAW GROUP INC / INVESTMENT RELATED: NO / 12910 SHELBYVILLE ROAD SUITE 124, LOUISVILLE KY 40243 / HOURS PER MONTH: 1 / HOURS DURING SECURITIES TRADING HOURS: 0 / I ANTICIPATE OFFERING ACCESS TO THE NETWLAW ESTATE PLANNING PLATFORM TO CLIENTS OF WFG OR TFA WHO DO NOT HAVE CURRENT ESTATE PLANNING DOCUMENTS IN PLACE / APPROVED WITH RESTRICTIONS BENEFIT SCIENTIFIC INC/Investment Related - No/1320 Charleston Square Drive #202, Naples FL 34110 /Benefit Scientific Inc was a firm that provided wellness programs to other companies as an employee benefit. It is no longer operating, and the entity is being maintained solely for tax purposes./President/02.2013/1/0/Maintain federal tax filings and state annual report. ADVOCATE FINANCIAL LLC / INVESTMENT RELATED: YES / 9604 COLDWATER ROAD SUITE 205, FORT WAYNE IN 46825 / AGENT, INSURANCE SALES: MEET WITH PROSPECTS PROVIDED BY OBA, OFFER THEM MEDICARE SUPPLEMENT AND/OR MEDICARE ADVANTAGE PLANS, AFTER BECOMING APPOINTED BY PROVIDERS. LATER, MAY OFFER CLIENTS OTHER PRODUCTS FROM WFG AND TFA / HOURS PER MONTH: 2 /HOURS DURING SECURITIES TRADING HOURS: 0 / APPROVED WITH RESTRICITONS LEGACYSHIELD SOLUTIONS INC /emp dates: 0421 TO PRESENT/ INVESTMENT RELATED: YES/address: 100 EXECUTIVE WAY SUITE 105 JACKSONVILLE, FL 32082/ position: AGENT/ nature of business: ESTATE PLANNING SERVICES/hrs work monthly: 1/Sec trading hrs: 0/ duties: OFFERING UPGRADABLE ESTATE PLANNING SERVICES, ONLINE DATA STORAGE, ACCOUNT AGGREGATION AND SIMPLE WHOLE LIFE PRODUCT QUOTES TO CLIENTS. THE MILIARE GROUP POSITION: null NATURE: Marketing INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/30/2024 ADDRESS: 2280 Wardlow Circle #205, Corona CA 92880, United States DESCRIPTION: WFG Co-Brand THE FINANCIAL LITERACY PROJECT POSITION: Self/DBA/Proprietor NATURE: Promote Financial Literacy INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/05/2024 ADDRESS: 1320 Charleston Square Dr #202, Naples FL 34110, United States DESCRIPTION: I plan to reach out to local communities to promote Financial Literacy using the DBA name "The Financial Literacy Project". I hope to foster an understanding of recent legislation promoting or requiring financial literacy curricula for high schools students - such as the Hukill Financial Literacy Act (2022).
CRS (Client Relationship Summary) - RIA
Click below to view William Rob Carlson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Rob Carlson'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
December 13, 2017 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 13131 University Drive, Fort Myers, FL 33907RIA
BD
CRD#: 16164
Fort Myers, FL
Current
December 5, 2017 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 13131 University Drive, Fort Myers, FL 33907RIA
BD
CRD#: 16164
Fort Myers, FL
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
Arizona(10/7/2021)
RR
Florida(12/5/2017)
IAR
Florida(12/13/2017)
RR
Georgia(6/4/2019)
RR
Massachusetts(4/8/2022)
RR
Missouri(4/2/2024)
IAR
North Carolina(2/10/2021)
RR
North Carolina(4/10/2024)
RR
Texas(2/3/2025)
IAR
Texas(2/3/2025)
Exams
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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164Fort Myers, FL 33907TRUST BUT VERIFY
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