WB
William Black
TRANSAMERICA FINANCIAL ADVISORS | Investment Advisor Representative
Vernal, UT 84078
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CRD#: 6920349
WB
Professional summary
William Black is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Vernal, Utah.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. William has worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 6 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. Agency 400, LLC / 0119-Present / Investment Related: No / 1176 N 1400 W Provo, UT 84604 / President / WFG Income Pass through / Hrs. Work Monthly: 0 / Sec Trading Hrs: 0/ I have no responsibilities in this entity. It is a passthrough for my WFG income for tax purposes only. Revolution Financial Management Provo UT - WFG cobrand Legacy Shield / 0320-Present / Investment Related: No / 100 Executive Way, 105 Ponte Vedra, FL 32082/None / Estate Planning / Hrs Work Monthly: 4 / Sec Trading Hrs: 0 / As desired, I can refer clients to LegacyShield by giving them a free basis account from the allotment I receive of free account seats as part if my annual subscription to their platform. Completely optional on my part. No required duties BUSINESS NETWORK INTERNATIONAL (BNI) POSITION: Chapter member NATURE: Referral Generation INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/26/2023 ADDRESS: 1009 W 50 N, St. George UT 84770, United States DESCRIPTION: Once the chapter launches on July 25, 2023, I will be attending a meeting once a week for 90 minutes. BNI allows one person per profession per chapter. I hold the Financial Advisor seat. There are no daily activities. with 25+ members in our chapter, I will only be presenting twice a year when it is my turn during the weekly meeting. My presentation will not be about how to invest or what to invest. My sole purposes is to teach fellow chapter members how to best refer me to those they know in their circles of influence.
CRS (Client Relationship Summary) - RIA
Click below to view William Black's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Black'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
May 11, 2018 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 1256 W 400 S Suite 4, Vernal, UT 84078RIA
BD
CRD#: 16164
Vernal, UT
Current
April 27, 2018 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 1256 W 400 S Suite 4, Vernal, UT 84078RIA
BD
CRD#: 16164
Vernal, UT
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
Utah(4/30/2018)
IAR
Utah(5/11/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
Investment Advisor RepresentativeCRD#: 16164Vernal, UT 84078TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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