Eddie J. Arias
Professional summary
Eddie John Arias, who also goes by Edddie John Arias, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Palm Harbor, Florida.
Eddie is registered as a RR (Registered Representative) and started their career in finance in 1991. Eddie has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eddie John Arias's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 25, 2018 - Present
TRANSAMERICA CAPITAL, LLC
November 12, 2007 - December 31, 2016
TRANSAMERICA CAPITAL, LLC
October 17, 1997 - November 21, 2007
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 12, 1994 - August 4, 1997
PERSHING LLC
August 22, 1991 - November 15, 1993
BNY MELLON SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/6/2020)
Exams
FINRA
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
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