AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
HF

Harold Fairman

TRANSAMERICA CAPITAL
Denver, CO 80202
Some features on this profile are disabled
CRD#: 2751260
HF

Professional summary

Harold Fairman III, AIF®, who also goes by Trey Fairman, Harold Fairman, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.

Harold is registered as a RR (Registered Representative) and started their career in finance in 1996. Harold has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Trey Fairman | Harold Fairman

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.
1.) AGOGE LLC - 5/6/2014 - 2284 North Fox Trail Fayetteville, AR 72703 - Managing Member, Owner/Manager, insurance related. Passive receipt of insurance renewals. One hour per month during non-trading hours; Zero hours per month (during trading hours). 2) AGOGE LLC, 5/6/2014 - 2284 North Fox Trail Fayetteville, AR 72703. Expert consultant for financial litigation matters. Insurance related. One hour per month during non-trading hours; Zero hours per month (during trading hours). 3) Foxrun Addition Property Owners Association 5/22/2024 - P.O. Box 3036, Fayetteville, AR 72702. Board of Directors position for homeowners association. One hour per month during non-trading hours; Zero hours per month (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Harold Fairman III'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®
AIF®

Accredited Investment Fiduciary

Experience

Current

June 25, 2024 - Present

TRANSAMERICA CAPITAL, LLC

Office #1: 1801 California St Suite 5200, Denver, CO 80202
BD
CRD#: 8217
Denver, CO
Past

December 20, 2021 - June 4, 2024

WAYPOINT RETIREMENT ADVISORS LLC

RIA
CRD#: 317157
FAYETTEVILLE, AR
Past

January 13, 2021 - December 31, 2021

TLG ADVISORS, INC.

RIA
CRD#: 111052
Fayetteville, AR
Past

March 3, 2020 - January 5, 2021

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

May 7, 2019 - January 12, 2021

TLG ADVISORS, INC.

RIA
CRD#: 111052
Fayetteville, AR
Past

August 31, 2017 - December 31, 2019

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

April 16, 2014 - August 1, 2017

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

August 26, 2005 - April 2, 2014

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
CARLSBAD, CA
Past

April 24, 1997 - August 30, 2005

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

July 9, 1996 - April 18, 1997

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arkansas
(7/9/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/26/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/15/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/8/1996
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

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

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

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AUSA HOLDING, LLCPARENT
ACKERMAN, TIMOTHY LEONDIRECTOR2311523
BEITZEL, BRIANDIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER6183770
CARNEY, ROBERT DONALDDIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD6747924
HALLORAN, MARK FRANCISDIRECTOR1128889
HELLERMAN, DOUGLASCHIEF COMPLIANCE OFFICER4696681

Disclosures

Regulatory Event3

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.

Company Information

TRANSAMERICA CAPITAL, LLC

CRD#: 8217Denver, CO 80202

TRUST BUT VERIFY

Monitor Harold Fairman

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Craig Stuart Johlfs
Craig JohlfsAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Greenwood Village, CO
Ralph Milburn Jones JR
Ralph JonesAdvisorCheck Check Mark
OPPENHEIMER & CO. INC.
IAR
RR
Denver, CO
Lorie Chantelle Jones
Lorie JonesAdvisorCheck Check Mark
TANDEM FINANCIAL, LLC
IAR
GREENWOOD VILLAGE, CO
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.