Jeffrey W. Dunn

TRANSAMERICA CAPITAL

Denver, CO 80202

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CRD#: 1572667

Professional summary

Jeffrey Wallace Dunn is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1986. Jeffrey has worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Jeffrey Wallace Dunn'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

June 27, 2016 - Present

TRANSAMERICA CAPITAL, LLC

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

CRD#: 8217

Denver, CO

Past

January 29, 2008 - June 13, 2016

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

February 15, 2007 - January 25, 2008

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

June 1, 2006 - February 16, 2007

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

February 27, 2004 - June 1, 2006

EVERLAKE DISTRIBUTORS, LLC

CRD#: 100460

NORTHBROOK, IL

Past

October 5, 1988 - February 18, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 20, 1986 - October 7, 1988

IRI SECURITIES CORPORATION

CRD#: 10004

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

Minnesota
(6/27/2016)

North Dakota
(6/27/2016)

South Dakota
(6/27/2016)

Exams

State Security Law Exam

Series 63

Date: 10/21/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/9/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 5/5/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/30/2001

General Securities Sales Supervisor - Options Module 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

Jeffrey W. Dunn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Wallace Dunn's CRS (Customer Relationship Summary).

Certified licenses

Experience

COREBRIDGE CAPITAL SERVICES, INC.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

EVERLAKE DISTRIBUTORS, LLC

MORGAN STANLEY DW INC.

IRI SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 10/21/1986

SIE

Date: 10/1/2018

Series 3

Date: 1/9/1989

Series 7

Date: 11/15/1986

Series 10

Date: 5/5/2001

Series 9

Date: 4/30/2001

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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