Troy T. Seitz

TRANSAMERICA CAPITAL

Denver, CO 80202

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CRD#: 2582045

Professional summary

Troy Thomas Seitz, CIMA® is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.

Troy is registered as a RR (Registered Representative) and started their career in finance in 1995. Troy has worked at 6 firms and has passed the Series 65, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Troy Thomas Seitz's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Current

November 29, 2023 - Present

TRANSAMERICA CAPITAL, LLC

Office #1: 1801 California St Suite 5200, Denver, CO 80202

CRD#: 8217

Denver, CO

Past

November 13, 2020 - September 1, 2022

AMERICAN CENTURY INVESTMENT SERVICES INC.

CRD#: 17437

KANSAS CITY, MO

Past

July 20, 2012 - May 2, 2019

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

CRD#: 13594

RANCHO CORDOVA, CA

Past

July 5, 2012 - May 2, 2019

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

RANCHO CORDOVA, CA

Past

January 23, 2007 - September 22, 2008

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

February 11, 2000 - June 29, 2012

PRINCIPAL FUNDS DISTRIBUTOR, INC.

CRD#: 43261

EL DORADO HILLS, CA

Past

February 1, 1995 - April 23, 1999

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/8/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/26/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/31/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/12/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TRANSAMERICA CAPITAL, LLC

ENDEAVOR GROUP | TRANSAMERICA CAPITAL, LLC | TRANSAMERICA CAPITAL, INC.

CRD#: 8217 / SEC#: , 8-24829

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

1801 California St. Suite 5200, Denver, CO 80202

Mailing Address

1801 California St. Suite 5200, Denver, CO 80202

Phone number

(720) 482-1500

Established

Iowa since 12/31/2024

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

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

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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Advisor Monitoring

Firm Stability Insights

Troy T. Seitz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Troy Thomas Seitz's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERICAN CENTURY INVESTMENT SERVICES INC.

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL FUNDS DISTRIBUTOR, INC.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/8/1997

SIE

Date: 10/1/2018

Series 7

Date: 4/26/1996

Series 6

Date: 1/31/1995

Series 24

Date: 7/12/2002

FINRA

Current Firm

TRANSAMERICA CAPITAL, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TRANSAMERICA CAPITAL, LLC

TRUST BUT VERIFY

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