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Willie Caldwell

Transamerica Financial Advisors, LLC
35 Years of Experience
Alpharetta, GA
6 DisclosuresBrokerSells Insurance
View SEC Summary
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Willie Caldwell is a registered investment advisor at Transamerica Financial Advisors, LLC, based in Alpharetta, GA, with 35 years of industry experience. Willie is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 42,735 clients with $2.1B in assets under management.

Transamerica Financial Advisors, LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
1118 advisors
Number of Clients
42,735 clients
Average Client Portfolio
$49K average
Assets Under Management
$2.1B

Fee Structure

Minimum Investment:$10
Investment management only (planning not offered)
Minimum Annual Fee:$35

Transamerica Financial Advisors (TFA) offers several investment management programs, including:

  • Third-Party Money Management Programs: TFA Advisors can connect you with third-party money managers (TPMMs) who manage model portfolios. Fees are specific to the TPMM you select.
  • Transamerica® ONE Wealth Management Platform: This is a wrap fee program with a single fee for services. The total annual program fee does not exceed 2.0%.
  • Transamerica® ALPHA Digital Investment Program: This program uses Betterment's platform. The total annual advisory fee ranges from 0.65% to 0.95%.
  • TFA365 Advisory Program: This is a wrap fee program. The total annual program fee does not exceed 2.75%. A minimum annual account fee applies to accounts that fall below the program account minimum. For the Strategist Program and the Unified Managed Account Program, the minimum annual account fee is $35 (account minimum: $25,000). For the Separately Managed Account Program, the minimum annual account fee is $150 (account minimum: $100,000).
View Full SEC Brochure

Location

190 Bluegrass Valley Pkwy., Alpharetta, GA, 30005

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History

Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
April 2004
Customer Dispute
July 2003
Denied
Customer Dispute
April 2003
Denied
Customer Dispute
April 2003
Denied
Employment Separation After Allegations
September 2002
Customer Dispute
April 2000
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Willie sells insurance and non-insurance products for companies affiliated with Transamerica Financial Advisors, Inc. He also serves as a pastor at Zion Missionary Baptist Church, dedicating about half of his time to this role.

Employment History
Current Registrations
Transamerica Financial Advisors, LLC
February 2017 - Present · 9 yrs 8 mos
Transamerica Financial Advisors, LLCBroker
February 2017 - Present · 9 yrs 8 mos
Previous Registrations
Transamerica Financial Advisors, INCBroker
January 2012 - December 2016 · 4 yrs 11 mos
Transamerica Financial Advisors, INC.
January 2012 - December 2016 · 4 yrs 11 mos
Investment Advisors International, INC.
September 2010 - January 2012 · 1 yr 4 mos
World Group Securities, INC.Broker
October 2004 - January 2012 · 7 yrs 3 mos
MML Investors Services, INC.Broker
October 2002 - May 2004 · 1 yr 7 mos
Edward JonesBroker
January 1995 - September 2002 · 7 yrs 8 mos
PFS Investments INC.Broker
January 1991 - November 1994 · 3 yrs 10 mos
State Registrations4 states
CAFLGALA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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