Denise A. Moline
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.
Denise Annette Moline, who also goes by Denise Annette Ham, Denise Ham, Denise Annette Moline, Denise Moline, Denise A Stutts, Denise Annette Stutts, was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 1988. Denise had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2020 - May 5, 2022
TRANSAMERICA CAPITAL, LLC
May 7, 2019 - April 3, 2020
PRUCO SECURITIES, LLC.
April 10, 2019 - April 3, 2020
PRUCO SECURITIES, LLC.
December 11, 2018 - February 12, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 11, 2018 - February 12, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 4, 2017 - February 8, 2018
D.H. HILL SECURITIES, LLLP
January 3, 2017 - July 26, 2017
J.P. MORGAN SECURITIES LLC
January 3, 2017 - July 26, 2017
J.P. MORGAN SECURITIES LLC
April 3, 2012 - January 26, 2017
VALIC FINANCIAL ADVISORS, INC.
March 2, 2012 - January 26, 2017
VALIC FINANCIAL ADVISORS, INC.
March 3, 2006 - December 19, 2006
GUNNALLEN FINANCIAL, INC
February 23, 2006 - December 19, 2006
GUNNALLEN FINANCIAL, INC
September 5, 2003 - February 24, 2004
BBVA COMPASS INVESTMENT SOLUTIONS, INC
September 5, 2003 - February 24, 2004
BBVA COMPASS INVESTMENT SOLUTIONS, INC
January 1, 1998 - September 25, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 1, 1998 - September 25, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 2, 1994 - January 1, 1998
NATIONSSECURITIES
July 5, 1988 - August 5, 1994
METROPOLITAN LIFE INSURANCE COMPANY
July 5, 1988 - August 5, 1994
MSI FINANCIAL 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
Exams
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
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.
