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Willie Caldwell

Transamerica Financial Advisors, Inc.

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About Willie Caldwell

Willie Caldwell is a financial advisor with over 30 years of experience in the financial services industry. Willie is currently registered with Transamerica Financial Advisors, Inc. and has held previous positions at several firms including World Group Securities, Inc. and MML Investors Services, Inc. Willie holds the Series 6, 7, 63 and 66 securities licenses and is a licensed insurance agent. Willie specializes in portfolio management for individuals and providing financial planning services.

Firm Information

Willie Caldwell is currently registered with Transamerica Financial Advisors, Inc.. Transamerica Financial Advisors, Inc. is a registered investment advisor with over 1,100 investment advisor representatives, managing $1 billion to $10 billion in client assets. The firm offers a range of services, including portfolio management for individuals, selection of other advisors, and wrap fee program participation. It has been in business since 1984 and is headquartered in St. Petersburg, FL. The firm serves a diverse clientele, including individuals, high-net-worth individuals, pension plans, corporations, charitable organizations, and other institutions.
Transamerica Financial Advisors, Inc.

570 CARILLON PARKWAY

ST PETERSBURG, FL 33716-1202

$1.62B

Assets Under Management

Not reported

Total Clients

2,487

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Willie Caldwell’s Registration & Firm History

GA

02/03/2017 - Present

Transamerica Financial Advisors, Inc. (Alpharetta GA)

GA

01/06/2012 - 12/31/2016

TRANSAMERICA FINANCIAL ADVISORS, INC (JOHNS CREEK GA)

GA

10/07/2004 - 01/06/2012

WORLD GROUP SECURITIES, INC. (DULUTH GA)

MA

10/04/2002 - 05/04/2004

MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)

MO

01/05/1995 - 09/13/2002

EDWARD JONES (ST. LOUIS MO)

GA

01/22/1991 - 11/22/1994

PFS INVESTMENTS INC. (DULUTH GA)

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Licenses & Designations

BOTH

Issued 04/08/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/22/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/04/1995

Series 7 - General Securities Representative Examination

BC

Issued 01/17/1991

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 15 public disclosures for Willie Caldwell. Review regulatory record here.
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