MS
Melissa A. Smith
TRANSAMERICA CAPITAL
Denver, CO 80202
Some features on this profile are disabled
CRD#: 2880120
MS
Professional summary
Melissa Ann Smith, who also goes by Melissa Ann Smith-fagen, Melissa Ann Vagle, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
Melissa is registered as a RR (Registered Representative) and started their career in finance in 1997. Melissa has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Melissa Ann Smith-Fagen | Melissa Ann Vagle
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.
CRS (Client Relationship Summary) - BD
Click below to view Melissa Ann Smith'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®
NoneExperience
Current
March 8, 2011 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202BD
CRD#: 8217
Denver, CO
Past
October 8, 2004 - December 31, 2010
FBL MARKETING SERVICES, LLC
BD
CRD#: 5309
WEST DES MOINES, IA
Past
October 31, 2001 - April 24, 2003
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 31, 2001 - April 24, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
April 25, 1997 - September 17, 1997
WORKMAN SECURITIES CORPORATION
BD
CRD#: 31898
EDEN PRAIRIE, MN
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
Alabama(1/4/2021)
RR
Alaska(12/21/2020)
RR
Arizona(12/24/2020)
RR
Arkansas(12/21/2020)
RR
California(12/17/2020)
RR
Colorado(3/8/2011)
RR
Connecticut(12/17/2020)
RR
Delaware(12/18/2020)
RR
District of Columbia(12/21/2020)
RR
Florida(2/26/2019)
RR
Georgia(12/17/2020)
RR
Hawaii(12/17/2020)
RR
Idaho(12/18/2020)
RR
Illinois(12/18/2020)
RR
Indiana(12/17/2020)
RR
Iowa(12/17/2020)
RR
Kansas(12/23/2020)
RR
Kentucky(12/17/2020)
RR
Louisiana(12/18/2020)
RR
Maine(12/17/2020)
RR
Maryland(12/17/2020)
RR
Massachusetts(12/17/2020)
RR
Michigan(12/18/2020)
RR
Minnesota(12/17/2020)
RR
Mississippi(12/17/2020)
RR
Missouri(12/17/2020)
RR
Montana(12/17/2020)
RR
Nebraska(12/22/2020)
RR
Nevada(12/22/2020)
RR
New Hampshire(12/17/2020)
RR
New Jersey(12/18/2020)
RR
New Mexico(12/17/2020)
RR
New York(12/17/2020)
RR
North Carolina(12/18/2020)
RR
North Dakota(12/21/2020)
RR
Ohio(12/17/2020)
RR
Oklahoma(12/17/2020)
RR
Oregon(4/8/2021)
RR
Pennsylvania(12/17/2020)
RR
Rhode Island(12/17/2020)
RR
South Carolina(12/18/2020)
RR
South Dakota(12/22/2020)
RR
Tennessee(12/17/2020)
RR
Texas(12/17/2020)
RR
Utah(12/18/2020)
RR
Vermont(12/17/2020)
RR
Virginia(12/17/2020)
RR
Washington(12/16/2020)
RR
West Virginia(12/21/2020)
RR
Wisconsin(12/23/2020)
RR
Wyoming(12/17/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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
| 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
