Ann-marie E. Smith
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.
Ann-marie Elaine Smith, who also goes by Ann-marie Elaine Doyley, Ann-marie E Smith, Ann-marie Elaine Smith, Ann-marie Elaine Smith-doyley, was a registered financial professional .
Ann-marie is a previously registered financial professional and started their career in finance in 1994. Ann-marie had worked at 9 firms and has passed the SIE 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
May 25, 2022 - June 3, 2022
TRANSAMERICA CAPITAL, LLC
February 13, 2019 - November 18, 2020
EQUITABLE ADVISORS, LLC
April 22, 2016 - December 31, 2018
PARK AVENUE SECURITIES LLC
January 2, 2015 - January 6, 2016
MSI FINANCIAL SERVICES, INC.
January 2, 2015 - January 6, 2016
MSI FINANCIAL SERVICES, INC.
May 10, 2011 - January 2, 2015
NEW ENGLAND SECURITIES
July 22, 2010 - January 2, 2015
NEW ENGLAND SECURITIES
March 7, 2000 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
March 22, 1999 - February 2, 2010
VALIC FINANCIAL ADVISORS, INC.
March 17, 1999 - February 2, 2010
VALIC FINANCIAL ADVISORS, INC.
April 11, 1996 - February 5, 1997
MSI FINANCIAL SERVICES, INC.
December 11, 1995 - May 9, 2000
PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY
August 16, 1994 - November 20, 1995
METROPOLITAN LIFE INSURANCE COMPANY
August 16, 1994 - November 20, 1995
MSI FINANCIAL SERVICES, 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
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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