Kelly J. Harrington
Professional summary
Kelly J Harrington, who also goes by Kelly Jo Coberly, Kelly Jo Harrington, Kelly Harrington, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
Kelly is registered as a RR (Registered Representative) and started their career in finance in 1985. Kelly has worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kelly J Harrington's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 20, 2020 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202February 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
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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