Kelly J. Harrington
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.
Kelly J Harrington, who also goes by Kelly Jo Coberly, Kelly Jo Harrington, Kelly Harrington, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 1985. Kelly had worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2020 - July 16, 2026
TRANSAMERICA CAPITAL, LLC
February 13, 2020 - May 19, 2020
E*TRADE SECURITIES LLC
July 6, 2009 - April 9, 2018
TCADVISORS NETWORK INC.
June 8, 2007 - April 29, 2008
CRESTONE SECURITIES LLC
February 3, 2000 - December 13, 2002
FOUNDERS ASSET MANAGEMENT LLC
May 1, 1995 - January 31, 2000
ICON DISTRIBUTORS, INC.
November 14, 1991 - May 21, 1993
CONSOLIDATED INVESTMENT SERVICES, INC.
July 18, 1990 - December 14, 1990
TAMARON INVESTMENTS, INC.
February 1, 1990 - April 30, 1990
THE OXFORD GROUP, INC.
September 25, 1989 - May 24, 1990
CENTURY FINANCIAL SECURITIES, INC.
October 11, 1988 - November 17, 1988
STATE STREET SECURITIES, INC.
December 10, 1987 - August 16, 1988
CHELSEA SECURITIES, INC.
October 16, 1986 - October 22, 1987
MARSHALL DAVIS, INC.
September 26, 1986 - November 25, 1986
POWER SECURITIES CORPORATION
May 24, 1985 - May 27, 1986
ALLISON 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; PRESIDENT, ASSET MANAGEMENT DISTRIBUTION | 2311523 |
| BEITZEL, BRIAN | DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER | 6183770 |
| CRESSMAN, JONATHAN SCOTT | PRESIDENT, ANNUITY DISTRIBUTION | 2837287 |
| 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
