Peter C. Carlson
Professional summary
Peter C Carlson is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
Peter is registered as a RR (Registered Representative) and started their career in finance in 1999. Peter has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter C Carlson's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 21, 2014 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202October 14, 2008 - November 22, 2013
GUARDIAN INVESTOR SERVICES LLC
October 20, 1999 - August 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/7/2014)
(11/7/2014)
(4/12/2021)
(4/22/2014)
Exams
Series 7TO
Date: 10/20/2025
General Securities Representative ExaminationFINRA
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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