John M. Williamson
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.
John Moore Williamson was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2020 - September 1, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 22, 2019 - September 1, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 30, 2017 - March 27, 2018
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
June 11, 2014 - October 23, 2017
CAPITAL MANAGEMENT ADVISORS LP
August 29, 2013 - November 3, 2015
TRIAD ADVISORS LLC
February 19, 2013 - March 7, 2013
PIERPONT CAPITAL ADVISORS LLC
February 19, 2013 - June 28, 2013
SANTANDER US CAPITAL MARKETS LLC
July 27, 2009 - February 11, 2013
STIFEL INDEPENDENT ADVISORS, LLC
May 2, 2001 - May 31, 2001
WELLS FARGO INVESTMENTS, LLC
January 25, 1999 - June 22, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
April 11, 1997 - May 2, 2001
WELLS FARGO SECURITIES INC.
October 24, 1995 - November 11, 1996
GRIGSBY & ASSOCIATES, INC.
July 25, 1987 - August 24, 1994
WESTCAP GOVERNMENT SECURITIES, INC.
October 23, 1986 - August 9, 1995
WESTCAP SECURITIES, L.P.
June 23, 1981 - June 15, 1982
KIDDER, PEABODY & CO. INCORPORATED
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 5
Date: 11/18/1981
Interest Rate Options 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.
