Christopher A. Parks

TRANSAMERICA CAPITAL

Denver, CO 80202

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CRD#: 1145573

Professional summary

Christopher Andrew Parks, who also goes by Christopher Parks, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1983. Christopher has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Christopher Parks

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Andrew Parks's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 23, 2005 - Present

TRANSAMERICA CAPITAL, LLC

Office #1: 1801 California St Suite 5200, Denver, CO 80202

CRD#: 8217

Denver, CO

Past

June 2, 2008 - May 23, 2011

TRANSAMERICA INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108488

ROCKVILLE, MD

Past

January 6, 2004 - November 22, 2005

WNC CAPITAL CORPORATION

CRD#: 36174

IRVINE, CA

Past

December 5, 2000 - July 3, 2003

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

February 14, 2000 - December 12, 2000

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

January 10, 1997 - February 7, 2000

NICHOLAS-APPLEGATE SECURITIES LLC

CRD#: 31205

SAN DIEGO, CA

Past

August 26, 1991 - April 4, 1995

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

September 21, 1983 - May 8, 1990

JOHNSTON, LEMON & CO. INCORPORATED

CRD#: 473

WASHINGTON, DC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

District of Columbia
(11/23/2005)

Maryland
(11/23/2005)

Virginia
(11/23/2005)

Exams

State Security Law Exam

IAR

Series 66

Date: 5/31/2008

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/27/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/29/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/17/1983

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TRANSAMERICA CAPITAL, LLC

ENDEAVOR GROUP | TRANSAMERICA CAPITAL, LLC | TRANSAMERICA CAPITAL, INC.

CRD#: 8217 / SEC#: , 8-24829

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

1801 California St. Suite 5200, Denver, CO 80202

Mailing Address

1801 California St. Suite 5200, Denver, CO 80202

Phone number

(720) 482-1500

Established

Iowa since 12/31/2024

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

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

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Christopher A. Parks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Andrew Parks's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA INVESTMENT MANAGEMENT, LLC

WNC CAPITAL CORPORATION

TRANSAMERICA CAPITAL, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

NICHOLAS-APPLEGATE SECURITIES LLC

THE ADVISORS GROUP, INC.

JOHNSTON, LEMON & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 5/31/2008

Series 65

Date: 11/27/1999

Series 63

Date: 9/29/1983

SIE

Date: 10/1/2018

Series 7

Date: 9/17/1983

FINRA

Current Firm

TRANSAMERICA CAPITAL, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TRANSAMERICA CAPITAL, LLC

TRUST BUT VERIFY

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