Gregory P. Farley
Professional summary
Gregory Patrick Farley, who also goes by Greg Farley, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
Gregory is registered as a RR (Registered Representative) and started their career in finance in 1986. Gregory has worked at 11 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 Gregory Patrick Farley's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 20, 2007 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202March 6, 2006 - April 16, 2007
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
March 11, 2002 - February 24, 2006
SECURIAN FINANCIAL SERVICES, INC.
February 2, 1999 - October 18, 2001
AFD, INC.
May 15, 1997 - December 14, 1998
EQUITABLE DISTRIBUTORS, LLC
June 20, 1996 - May 20, 1997
WOODBURY FINANCIAL SERVICES, INC.
July 6, 1995 - May 6, 1996
FIRSTAR INVESTMENT SERVICES,INC.
November 19, 1991 - July 10, 1995
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
September 15, 1988 - November 25, 1991
SII INVESTMENTS, INC.
August 3, 1987 - December 19, 1988
PRINCETON AMERICAN EQUITIES CORPORATION
December 26, 1986 - May 14, 1987
JRL CAPITAL 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
(11/5/2024)
(9/20/2007)
(9/20/2007)
(9/20/2007)
(9/20/2007)
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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