John G. Whisenant
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.
John Gay Whisenant, AIF® was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2020 - November 20, 2024
TRANSAMERICA CAPITAL, LLC
February 23, 2017 - October 18, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 27, 2017 - October 18, 2019
RAYMOND JAMES & ASSOCIATES, INC.
January 25, 2017 - October 18, 2019
RAYMOND JAMES & ASSOCIATES, INC.
January 25, 2013 - September 30, 2016
INDEPENDENT FINANCIAL PARTNERS
December 21, 2012 - October 11, 2016
LPL FINANCIAL LLC
April 20, 2011 - November 11, 2011
INTEGRITY ALLIANCE, LLC.
April 12, 2011 - November 21, 2012
INTEGRITY ALLIANCE, LLC.
February 11, 2011 - October 8, 2012
AMERICAN INVESTMENT SERVICES
July 7, 2008 - April 12, 2010
GUNNALLEN FINANCIAL, INC
June 30, 2008 - April 12, 2010
GUNNALLEN FINANCIAL, INC
November 5, 2001 - June 16, 2008
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 2, 2001 - June 16, 2008
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 16, 1990 - July 25, 2000
THE VARIABLE ANNUITY MARKETING COMPANY
October 27, 1987 - October 20, 1989
ADVANTAGE 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
