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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 4,850 registered representatives nationwide. William has held an industry securities registration for 20 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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.

Experience and Employment History

Employer Years Dates
Dudley Asset Management 11 years, 7 months Sep 2002 - Present
Seala Investments 14 years, 11 months May 1999 - Present
Transamerica Financial Advisors, Inc. 16 years, 3 months Jan 1998 - Present
Life Investors 18 years, 2 months Feb 1996 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 12/07/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
12/07/2012
06/20/2012
*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.

Advisor Exams

Exam Series Passed Date
General Securities Principal Examination Series 24 10/22/1996
Uniform Securities Agent State Law Examination Series 63 07/25/1991
General Securities Representative Examination Series 7 07/22/1991

Firm Compensation Arrangements

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Types of Compensation Arrangements

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