Keith P. Cattaneo

TRANSAMERICA INVESTORS SECURITIES

Cherry Hills Village, CO

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CRD#: 1978935

Professional summary

Keith Phillip Cattaneo is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Cherry Hills Village, Colorado.

Keith is registered as a RR (Registered Representative) and started their career in finance in 2004. Keith has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Keith Phillip Cattaneo'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

January 8, 2025 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

Cherry Hills Village, CO

Past

April 30, 2019 - August 14, 2023

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

January 8, 2018 - April 17, 2019

PENTEGRA DISTRIBUTORS INC.

CRD#: 26249

WHITE PLAINS, NY

Past

October 2, 2014 - November 6, 2017

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

LAFAYETTE, CA

Past

January 30, 2008 - August 16, 2014

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

January 19, 2007 - February 4, 2008

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

October 6, 2004 - December 19, 2006

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

State Registrations and Notice Filings

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

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

California
(1/8/2025)

Exams

State Security Law Exam

Series 63

Date: 4/27/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/5/2004

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

TRANSAMERICA INVESTORS SECURITIES, LLC

DIVERSIFIED INVESTORS SECURITIES CORP. | TRANSAMERICA INVESTORS SECURITIES, LLC | TRANSAMERICA INVESTORS SECURITIES CORPORATION

CRD#: 32205 / SEC#: , 8-45671

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

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Contact information

Main Address

440 Mamaroneck Avenue, Harrison, NY 10528

Mailing Address

440 Mamaroneck Avenue, Harrison, NY 10528

Phone number

(914) 627-3000

Established

Delaware since 12/31/2024

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TRANSAMERICA RETIREMENT SOLUTIONS, LLC	SHAREHOLDER
CALVI, ENNA MARIA	MANAGER, TREASURER, AND FINANCIAL PRINCIPAL	2373021
HEWITT, JAY ALLEN	MANAGER AND VICE PRESIDENT	1687429
HOLGATE, GREGG WILLIAM	PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS	2818725
POWERS, MARK JUDSON	VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	6173588

Disclosures

Regulatory Event

Red Flags

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Keith P. Cattaneo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Keith Phillip Cattaneo's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL PARTNERS, LLC

PENTEGRA DISTRIBUTORS INC.

KESTRA INVESTMENT SERVICES, LLC

EMPOWER FINANCIAL SERVICES, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/27/2005

SIE

Date: 10/1/2018

Series 6

Date: 10/5/2004

FINRA

Current Firm

TRANSAMERICA INVESTORS SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TRANSAMERICA INVESTORS SECURITIES, LLC

TRUST BUT VERIFY

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