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Mark Winsor

Transamerica Financial Advisors, LLC
25 Years of Experience
Lawrenceburg, KY
2 DisclosuresBrokerSells Insurance
View SEC Summary
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Mark Winsor is a registered investment advisor at Transamerica Financial Advisors, LLC, based in Lawrenceburg, KY, with 25 years of industry experience. Mark 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
1121 advisors
Number of Clients
42,735 clients
Average Client Portfolio
$49K average
Assets Under Management
$2.1B

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.75%

Maximum total annual program fees are up to 2.75% for TFA365 and third-party manager programs, and up to 2.0% for Transamerica ONE. Fees vary based on the specific program, model portfolios selected, and negotiations with your investment advisor representative.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

107 W Woodford St, Lawrenceburg, KY, 40342

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History

Regulatory History (2)
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.
Customer Dispute
May 2001
Closed-No Action
Customer Dispute
July 1998
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Mark sells insurance and non-insurance products for companies affiliated with Transamerica Financial Advisors, Inc. He also owns multiple legal service businesses and a real estate sales business, dedicating about a quarter of his time to Winsor Law Firm, PLC and Windsor & Higgins, Plc, minimal time to Call Winsor Realty, and a few hours per week to Preventia Legal Counselors, PLC.

Employment History
Current Registrations
Transamerica Financial Advisors, LLC
December 2015 - Present · 10 yrs 10 mos
Transamerica Financial Advisors, LLCBroker
July 2014 - Present · 12 yrs 3 mos
Previous Registrations
World Group Securities, INC.Broker
April 2002 - May 2004 · 2 yrs 1 mo
Wma Securities, INC.Broker
June 1994 - April 2002 · 7 yrs 10 mos
Intersecurities, INC.Broker
October 1992 - June 1994 · 1 yr 8 mos
Intersecurities, INC.Broker
December 1991 - October 1992 · 10 mos
First American National Securities, INC.Broker
April 1991 - November 1991 · 7 mos
State Registrations12 states
AZCACOGAKSKYMNNCNJNMUTWA
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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