Charles H. Martin
Professional summary
Charles Horton Martin JR, CIMA®, who also goes by Charles Horton Martin Jr., Charles Horton Martin, Chuck Martin, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1992. Charles has worked at 12 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) - BD
Click below to view Charles Horton Martin JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 28, 2023 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202January 3, 2019 - June 23, 2023
ALPS DISTRIBUTORS, INC.
June 17, 2014 - December 31, 2018
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
June 29, 2012 - September 24, 2013
MML INVESTORS SERVICES, LLC
January 24, 2012 - September 24, 2013
MML DISTRIBUTORS, LLC
March 23, 2011 - December 9, 2011
MIDAMERICA FINANCIAL SERVICES, INC.
January 12, 2010 - September 15, 2010
REALTY CAPITAL SECURITIES, LLC
June 20, 2006 - September 25, 2008
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
February 19, 1997 - June 13, 2006
EQUITABLE DISTRIBUTORS, LLC
September 23, 1996 - November 13, 1996
AFSG SECURITIES CORPORATION
July 31, 1993 - May 25, 1995
CITIGROUP GLOBAL MARKETS INC.
January 22, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/30/2023)
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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