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TH

Tiki E. Hall

TRANSAMERICA CAPITAL
Cedar Rapids, IA 52404
Some features on this profile are disabled
CRD#: 2881979
TH

Professional summary

Tiki Evette Hall, who also goes by Tiki E Hall, Tiki Evette Hall, Tiki Hall, Tiki Evette Marshall, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Cedar Rapids, Iowa.

Tiki is registered as a RR (Registered Representative) and started their career in finance in 1998. Tiki has worked at 13 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tiki E Hall | Tiki Evette Hall | Tiki Hall | Tiki Evette Marshall

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 Tiki Evette Hall'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

November 21, 2022 - Present

TRANSAMERICA CAPITAL, LLC

Office #1: 6400 C Street Sw, Cedar Rapids, IA 52404
BD
CRD#: 8217
Cedar Rapids, IA
Past

December 2, 2019 - September 12, 2022

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
Arlington, TX
Past

December 2, 2019 - September 12, 2022

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
Arlington, TX
Past

June 19, 2013 - December 3, 2018

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
MESQUITE, TX
Past

June 4, 2013 - December 3, 2018

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
MESQUITE, TX
Past

October 1, 2012 - February 7, 2013

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
DE SOTO, TX
Past

October 1, 2012 - February 7, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
DE SOTO, TX
Past

September 22, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
DE SOTO, TX
Past

September 17, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
DE SOTO, TX
Past

June 30, 2009 - September 8, 2010

WEAVER WEALTH MANAGEMENT

RIA
CRD#: 115150
DALLAS, TX
Past

June 18, 2009 - September 8, 2010

WEAVER TIDWELL CAPITAL, LLC

BD
CRD#: 145871
DALLAS, TX
Past

November 4, 2008 - April 29, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
DALLAS, TX
Past

December 16, 2006 - April 29, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
DALLAS, TX
Past

March 13, 2006 - December 13, 2006

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
DALLAS, TX
Past

March 13, 2006 - December 13, 2006

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
DALLAS, TX
Past

April 1, 2001 - June 3, 2005

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

September 15, 2000 - April 1, 2001

BANK UNITED SECURITIES CORP.

BD
CRD#: 30288
HOUSTON, TX
Past

March 17, 1999 - September 12, 2000

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

June 30, 1998 - October 6, 1998

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD
CRD#: 17086
BIRMINGHAM, AL

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
RR
IAR
Series 66
Date: 10/30/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/16/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/4/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/29/1998
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)

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 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

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#: 8217Cedar Rapids, IA 52404

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