Carroll A. Beeson

TRANSAMERICA FINANCIAL ADVISORS

Las Vegas, NV 89147

Some features on this profile are disabled

CRD#: 1967502

Professional summary

Carroll A Beeson, who also goes by Carroll Ann Beeson, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Las Vegas, Nevada.

Carroll is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Carroll has worked at 9 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carroll Ann Beeson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. BEESON MEDIATION SOLUTIONS/Investment Related - No/9130 W Russell Road, Suite 310, Las Vegas, NV 89148/ I provide mediation services to those who are transitioning out of their marriages and wish to do so amicably./Mediator/01.2012/20/20/ I provide mediation services to those who are transitioning out of their marriages and wish to do so amicably. MELALEUCA/Investment Related - No/9130 W. RUSSELL ROAD, SUITE 310 LAS VEGAS, NV 89148/Offer access to health and wellness products online./Independent Representative/02.2019/10/0/Offer access to health and wellness products online.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carroll A Beeson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Carroll A Beeson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 11, 2020 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

Office #1: 8875 W. Flamingo Rd. Suite 200, Las Vegas, NV 89147

RIA

CRD#: 16164

Las Vegas, NV

Current

August 10, 2020 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

Office #1: 8875 W. Flamingo Rd. Suite 200, Las Vegas, NV 89147

RIA

CRD#: 16164

Las Vegas, NV

Past

December 9, 2014 - December 5, 2019

OSAIC SERVICES, INC.

CRD#: 133763

RENO, NV

Past

January 7, 2012 - January 31, 2017

LANDMARK ADVISORS NEVADA

RIA

CRD#: 158910

LAS VEGAS, NV

Past

July 20, 2009 - December 18, 2012

OSAIC SERVICES, INC.

CRD#: 133763

HENDERSON, NV

Past

July 13, 2007 - July 30, 2007

OSAIC SERVICES, INC.

RIA

CRD#: 133763

LAS VEGAS, NV

Past

February 9, 2007 - July 30, 2007

OSAIC SERVICES, INC.

CRD#: 133763

LAS VEGAS, NV

Past

June 29, 2004 - February 7, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

February 7, 2000 - June 19, 2002

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

ENGLEWOOD, CO

Past

September 13, 1999 - June 19, 2002

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

April 1, 1998 - November 3, 1998

ZIONS DIRECT, INC.

CRD#: 17776

SALT LAKE CITY, UT

Past

June 24, 1994 - April 2, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 10, 1992 - May 23, 1994

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

February 21, 1992 - March 26, 1992

FIRST CHOICE SECURITIES CORP.

CRD#: 17021

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Nevada
(8/10/2020)

IAR

Nevada
(8/11/2020)

Ohio
(4/28/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/22/2004

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/28/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/19/1992

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102

Mailing Address

6400 C St Sw, Cedar Rapids, IA 52499-0001

Phone number

(727) 299-1800

Established

Delaware since 12/28/1984

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

1,054

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV, PART 2A (10/6/2025)

TRANSAMERICA ELITE WEALTH MANAGEMENT PLATFORM PROGRAM - APPENDIX (10/6/2025)

TRANSAMERICA FINANCIAL ADVISORS, INC., FORM ADV PART 2A, APPENDIX 1 (3/28/2025)

TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV PART 2A, APPENDIX 1 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
AUSA HOLDING, LLC	OWNER
BARRY, MICHELLE ANNE	DIRECTOR, PRESIDENT, CEO	2744539
BEITZEL, BRIAN	DIRECTOR, CHIEF FINANCIAL OFFICER	6183770
COSTELLO, ROBERT	CHIEF OPERATIONS OFFICER	1349716
KRAMER, CHRISTINA D	CHIEF COMPLIANCE OFFICER	4406871
TJOA, NATHANIEL	CHIEF SUPERVISORY OFFICER	4667709

Regulatory assets under management

Total Number of Accounts	42,440
AUM (Assets Under Management)	$ 1,730,669,809

Disclosures

Regulatory Event	19
Arbitration	3
Bond	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.

Similar Advisors

Michael Beatty

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

IAR

Las Vegas, NV

Jodie Cohen-potter

LPL FINANCIAL LLC

IAR

LAS VEGAS, NV

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Carroll A. Beeson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carroll A Beeson's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Carroll A Beeson's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA FINANCIAL ADVISORS, LLC

OSAIC SERVICES, INC.

LANDMARK ADVISORS NEVADA

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

ZIONS DIRECT, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

FIRST CHOICE SECURITIES CORP.

Primary Firm SEC Registration

TRANSAMERICA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/22/2004

Series 65

Date: 12/28/1994

SIE

Date: 10/1/2018

Series 7

Date: 2/19/1992

FINRA

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors