Paul A. Cole
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.
Paul Aaron Cole, who also goes by Paul A Cole, Paul Aaron Cole Jr, Paul Aaron Cole Jr., Paul Aaron Cole, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1989. Paul had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2018 - October 12, 2020
TRANSAMERICA CAPITAL, LLC
June 3, 2016 - November 19, 2018
ALLSTATE FINANCIAL SERVICES, LLC
October 21, 2013 - July 6, 2015
COREBRIDGE CAPITAL SERVICES, INC.
December 14, 2012 - October 10, 2013
THE LEADERS GROUP, INC.
May 29, 2007 - February 25, 2011
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 29, 2007 - August 20, 2012
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 29, 2006 - May 30, 2007
THE LEADERS GROUP, INC.
August 13, 2004 - February 25, 2006
CITICORP INVESTMENT SERVICES
July 2, 2004 - August 16, 2004
1717 CAPITAL MANAGEMENT COMPANY
June 10, 1992 - July 8, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 21, 1989 - July 8, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
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.
