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William Russell Dudley

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Information

Firm:
Type: Dual Registration
Description

William Dudley is a financial professional at Transamerica Financial Advisors, Inc., a broker-dealer with over 4,950 registered representatives nationwide. William has held an industry securities registration for 11 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Dudley Asset Management 12 years, 2 months Sep 2002 - Present
Seala Investments 15 years, 6 months May 1999 - Present
Transamerica Financial Advisors, Inc 16 years, 10 months Jan 1998 - Present
Life Investors 18 years, 9 months Feb 1996 - Present
Exams
ExamSeriesPassed Date
Uniform Securities Agent State Law ExaminationSeries 63 07/25/1991

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

William Russell Dudley has not answered any questions on Financial Q&A.

Top Guides

William Russell Dudley has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
10/03/2014
09/23/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions