Patrick G. Gustafson
Professional summary
Patrick Gerald Gustafson, who also goes by Patrick Coerald Gustafson, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 1990. Patrick has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patrick Gerald Gustafson's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 12, 2008 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202December 17, 2008 - May 23, 2011
TRANSAMERICA INVESTMENT MANAGEMENT, LLC
March 26, 2007 - June 6, 2008
MANULIFE INVESTMENT MANAGEMENT (US) LLC
March 14, 2007 - June 6, 2008
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
February 7, 2007 - June 6, 2008
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
October 30, 1997 - February 2, 2007
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
April 18, 1990 - January 16, 1997
DAIN RAUSCHER INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/17/2008)
(2/13/2025)
(6/12/2008)
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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