Richard M. Farrell
Professional summary
Richard Martin Farrell, who also goes by Richard Martin Farrell Jr, Richard Martin Jr Farrell, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Martin Farrell's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 17, 2023 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202June 9, 2009 - August 18, 2023
NATIONWIDE INVESTMENT SERVICES CORPORATION
December 4, 2000 - May 15, 2009
TRANSAMERICA CAPITAL, LLC
December 16, 1999 - December 12, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 23, 1998 - April 6, 2000
TRANSAMERICA SECURITIES SALES CORPORATION
July 22, 1996 - October 21, 1998
NATIONAL PLANNING CORPORATION
February 1, 1996 - March 8, 1996
CRESTAR SECURITIES CORPORATION
August 12, 1993 - February 1, 1996
LOYOLA INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/30/2025)
(8/17/2023)
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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