Daniel J. Knapp
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.
Daniel James Knapp, who also goes by Daniel James Knapp Sr, Daniel James Knapp Sr., was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1994. Daniel had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2023 - October 1, 2026
TRANSAMERICA CAPITAL, LLC
January 8, 2016 - August 18, 2023
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 23, 2004 - January 5, 2016
EQUITABLE DISTRIBUTORS, LLC
March 19, 2003 - March 17, 2004
GLOBAL ATLANTIC DISTRIBUTORS, LLC
September 9, 1999 - March 27, 2003
TRANSAMERICA CAPITAL, LLC
July 29, 1994 - June 14, 1995
GLOBAL ATLANTIC DISTRIBUTORS, 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
What does exam status mean?
Series 6
Passed: 1/19/1999
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; PRESIDENT, ASSET MANAGEMENT DISTRIBUTION | 2311523 |
| BEITZEL, BRIAN | DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER | 6183770 |
| CRESSMAN, JONATHAN SCOTT | PRESIDENT, ANNUITY DISTRIBUTION | 2837287 |
| HALLORAN, MARK FRANCIS | DIRECTOR | 1128889 |
| HELLERMAN, DOUGLAS | CHIEF COMPLIANCE OFFICER | 4696681 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
