Mark F. Halloran
Professional summary
Mark Francis Halloran is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1983. Mark has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Francis Halloran's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 12, 2011 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202December 10, 2009 - December 31, 2010
DIRECTED SERVICES LLC
July 25, 2001 - December 31, 2010
DIRECTED SERVICES LLC
April 13, 2000 - July 26, 2001
VOYA FINANCIAL PARTNERS, LLC
March 10, 1998 - November 23, 1999
AELTUS CAPITAL, INC
March 14, 1996 - February 5, 1998
BANKBOSTON INVESTOR SERVICES, INC.
November 17, 1995 - January 19, 1996
BANKBOSTON INVESTOR SERVICES, INC.
March 22, 1991 - November 21, 1995
WALL STREET ACCESS
February 2, 1990 - March 21, 1991
ROYAL HUTTON SECURITIES CORP.
March 19, 1985 - February 13, 1990
INVEST FINANCIAL CORPORATION
May 26, 1983 - August 6, 1984
METROPOLITAN LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/20/2021)
(5/12/2011)
(7/20/2021)
(7/20/2021)
(4/30/2024)
Exams
FINRA
Current Firm
TRANSAMERICA CAPITAL, LLC
CRD#: 8217 / SEC#: , 8-24829
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUSA HOLDING, LLC | PARENT | |
| ACKERMAN, TIMOTHY LEON | DIRECTOR | 2311523 |
| BEITZEL, BRIAN | DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER | 6183770 |
| CARNEY, ROBERT DONALD | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | 6747924 |
| HALLORAN, MARK FRANCIS | DIRECTOR | 1128889 |
| HELLERMAN, DOUGLAS | CHIEF COMPLIANCE OFFICER | 4696681 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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