Winthrop G. Dow
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.
Winthrop Griffin Dow III, who also goes by Griff Dow, Winthrop Griffin Dow, Winthrop G Dow III, Winthrop G Dow, was a registered financial professional .
Winthrop is a previously registered financial professional and started their career in finance in 1990. Winthrop had worked at 19 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2022 - March 21, 2024
TRANSAMERICA CAPITAL, LLC
January 2, 2019 - March 20, 2021
VISION 4 FUND DISTRIBUTORS
February 16, 2017 - December 31, 2018
FIRST DOMINION CAPITAL CORP.
February 20, 2015 - November 16, 2015
HORIZON INVESTMENTS LLC
July 18, 2014 - November 17, 2015
NORTHERN LIGHTS DISTRIBUTORS, LLC
March 6, 2014 - May 15, 2014
TACTICAL ALLOCATION GROUP, LLC
June 10, 2011 - August 12, 2013
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
June 9, 2011 - August 12, 2013
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
April 18, 2008 - June 9, 2011
AST INVESTMENT SERVICES, INC.
April 18, 2008 - June 9, 2011
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
December 21, 2007 - January 2, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 4, 2007 - January 2, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 31, 2007 - November 29, 2007
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 26, 2007 - November 29, 2007
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 1, 2005 - March 9, 2007
FRANKLIN DISTRIBUTORS, LLC
April 30, 2003 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
October 25, 2002 - March 17, 2003
FORESIDE DISTRIBUTION SERVICES, L.P.
October 3, 2000 - March 17, 2003
CITI DISTRIBUTION SERVICES, INC.
October 23, 1997 - August 23, 2000
AMUNDI DISTRIBUTOR US, INC.
March 16, 1994 - January 22, 1997
NATIXIS DISTRIBUTION, LLC
June 18, 1991 - December 22, 1993
TNE INVESTMENT SERVICES CORPORATION
August 31, 1990 - April 5, 1991
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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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