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Samuel Casias

TRANSAMERICA CAPITAL
DENVER, CO 80202
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CRD#: 2800456
SC
Samuel CasiasTRANSAMERICA CAPITAL

Professional summary

Samuel Casias is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 1997. Samuel has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

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.
DENVER BUDDHIST TEMPLE JUDO DOJO POSITION: I will assist in the day to day administration of the Judo club. NATURE: The Denver Buddhist Temple Judo Club is a 501(c)(3), established to train individuals in the art of Judo. INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2018 ADDRESS: 1947 Lawrence St, Denver CO 80202, United States DESCRIPTION: I have been asked to serve on the Board of Trustees in the capacity of Vice-President for the Denver Buddhist Temple Judo Dojo.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Samuel Casias'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®
None

Experience

Current

August 4, 2026 - Present

TRANSAMERICA CAPITAL, LLC

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

October 24, 2011 - July 9, 2026

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
DENVER, CO
Past

March 1, 2007 - July 9, 2026

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
DENVER, CO
Past

April 22, 1998 - January 25, 2007

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

February 11, 1997 - February 9, 1998

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
NEW YORK, NY

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
Colorado
(8/7/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/20/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/26/1999
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: 6/3/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/10/1997
Investment Company Products/Variable Contracts 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)
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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

NamePositionCRD#
AUSA HOLDING, LLCPARENT
ACKERMAN, TIMOTHY LEONDIRECTOR; PRESIDENT, ASSET MANAGEMENT DISTRIBUTION2311523
BEITZEL, BRIANDIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER6183770
CRESSMAN, JONATHAN SCOTTPRESIDENT, ANNUITY DISTRIBUTION2837287
HALLORAN, MARK FRANCISDIRECTOR1128889
HELLERMAN, DOUGLASCHIEF COMPLIANCE OFFICER4696681

Disclosures

Regulatory Event3

Red Flags

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Company Information

TRANSAMERICA CAPITAL, LLC

CRD#: 8217Denver, CO 80202

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