Michael J. Deon
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.
Michael John Deon, who also goes by Mike John Deon, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 8 firms and has passed the Series 63, SIE, Series 7 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
August 6, 2015 - May 10, 2016
TRANSAMERICA CAPITAL, LLC
December 21, 2012 - July 1, 2015
NYLIFE SECURITIES LLC
August 3, 2011 - November 13, 2012
P.J. ROBB VARIABLE, LLC
November 4, 2004 - July 8, 2011
PRINCIPAL SECURITIES, INC.
January 24, 2001 - June 4, 2004
UNDERWRITERS EQUITY CORPORATION
February 23, 1996 - December 16, 1997
PACKERLAND BROKERAGE SERVICES, INC.
September 26, 1994 - January 6, 2001
ASCENSUS SECURITIES CORP.
June 21, 1988 - June 2, 1995
CAPITAL 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.
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