Roger Lee Williams

Employer firm

Transamerica Financial Advisors, LLC CRD 16164

$2.11B regulatory AUM

Reported services (Item 5G)

Portfolio management (individuals)
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Transamerica Financial Advisors, Llc

Two Liberty Place 50 South 16Th Street, Suite 3700, Philadelphia, PA 19102 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-02-12
WI	RA	APPROVED	2012-01-06

TX RA
APPROVED_RES

Since 2020-02-12
WI RA
APPROVED

Since 2012-01-06

Branch Locations

2901 W. Beltline Highway Suite 200, Madison, WI 53713 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wfgia	Madison	WI	06/2008	Present
Don Miller Pontiac Gmc Subaru, Inc.	Madison	WI	07/1988	09/2021
Transamerica Financial Advisors, Inc	Madison	WI	01/2012	Present
Wisconsin Badger Camp	Platteville	WI	02/2021	Present
M Partners Usa	Laurel	MD	06/2022	Present
Wisconsin Advantage	Menasha	WI	08/2023	Present
Spark	Waunakee	WI	01/2025	Present

06/2008 → Present

Wfgia

Madison, WI
07/1988 → 09/2021

Don Miller Pontiac Gmc Subaru, Inc.

Madison, WI
01/2012 → Present

Transamerica Financial Advisors, Inc

Madison, WI
02/2021 → Present

Wisconsin Badger Camp

Platteville, WI
06/2022 → Present

M Partners Usa

Laurel, MD
08/2023 → Present

Wisconsin Advantage

Menasha, WI
01/2025 → Present

Spark

Waunakee, WI

Previous Registrations

2010-08-31 → 2012-01-06

Investment Advisors International, Inc.

Madison, WI

Other Businesses

Sales of insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors (TFA). SPARK / Investment Related: no / 100 Baker St Waunakee WI 53597 / Member / Networking group / 01/01/2025 / Approved w/Limitations / Meet bi- monthly to network with other business owners and exchange referrals. M Partners USA/0622-Present / Investment Related: Yes/ 6100 Chevy chase Drive Suite 105, Laurel, MD 20707 / Producer / Insurance sales / Hrs. Work Monthly: 10 / Sec Trading Hrs: 1 /Market product provided with this IMO Wisconsin Badger Camp / 0221-Present / Investment Related: No / Platteville, WI 53818 / Board Member / summer camp for kids / Hrs Work Monthly: 2 / Sec Trading Hrs: 0 / Attend monthly board meeting and make decisions regarding camp operations. WISCONSIN ADVANTAGE POSITION: Agent NATURE: Medicare Supplement Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 08/16/2023 ADDRESS: 1981 Midway Rd, Suite B, Menasha WI 54952, United States DESCRIPTION: Sign customers up for Medicare gap and supplement insurance.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-06-28
S63	Uniform Securities Agent State Law Examination	2009-04-03

S65 Uniform Investment Adviser Law Examination

2010-06-28
S63 Uniform Securities Agent State Law Examination

2009-04-03

View on SEC IAPD