Peter W. Brennan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Peter William Brennan was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1984. Peter had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2009 - October 28, 2014
TRANSAMERICA CAPITAL, LLC
October 31, 2008 - January 9, 2009
ROBERT W. BAIRD & CO. INCORPORATED
September 7, 2000 - March 18, 2008
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
August 12, 1992 - September 6, 2000
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
October 4, 1989 - August 31, 1992
CAI SECURITIES CORPORATION
April 7, 1988 - June 6, 1989
MDCC SECURITIES CORPORATION
May 6, 1986 - October 9, 1987
KAVANAUGH SECURITIES, INC.
September 26, 1985 - May 1, 1986
GEMINI CAPITAL CORP.
September 13, 1984 - April 9, 1985
PSI SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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