Lawson D. Brooks
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.
Lawson David Brooks, who also goes by Larry Brooks, was a registered financial professional .
Lawson is a previously registered financial professional and started their career in finance in 1993. Lawson had worked at 6 firms and has passed the Series 66, Series 63, 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
July 16, 2008 - January 3, 2014
TRANSAMERICA CAPITAL, LLC
January 1, 2007 - July 9, 2008
RIVERSOURCE DISTRIBUTORS, INC.
September 12, 2006 - April 20, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
April 12, 2002 - July 3, 2006
IDS LIFE INSURANCE COMPANY
April 12, 2002 - January 1, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
October 7, 1999 - January 9, 2002
SECURITIES MANAGEMENT & RESEARCH, INC.
January 13, 1993 - June 20, 1997
NYLIFE SECURITIES LLC
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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