Christopher Michael Cronin
Professional Summary
Christopher Michael Cronin, who also goes by Chris Michael Cronin, Chris Cronin, is a registered financial advisor currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado. Christopher is registered as a RR (Registered Representative) and started their career in finance in 1999. Christopher has worked at 2 firms and has passed the SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Chris Michael Cronin, Chris Cronin
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Years of Experience
27 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current Firm
ENDEAVOR GROUP | TRANSAMERICA CAPITAL, LLC | TRANSAMERICA CAPITAL, INC.
Contact Information
Main Address
1801 California St. Suite 5200, Denver, CO 80202Mailing Address
1801 California St. Suite 5200, Denver, CO 80202Phone Number
(720) 482-1500Established
Iowa since 12/31/2024Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUSA HOLDING, LLC | PARENT | — |
| ACKERMAN, TIMOTHY LEON | DIRECTOR; PRESIDENT, ASSET MANAGEMENT DISTRIBUTION | 2311523 |
| BEITZEL, BRIAN | DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER | 6183770 |
| CRESSMAN, JONATHAN SCOTT | PRESIDENT, ANNUITY DISTRIBUTION | 2837287 |
| HALLORAN, MARK FRANCIS | DIRECTOR | 1128889 |
| HELLERMAN, DOUGLAS | CHIEF COMPLIANCE OFFICER | 4696681 |
Disclosures
Regulatory Event
4Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
State Registrations and Notice Filings
(10/11/2004)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 1999About the Series 6 examSRO Registrations
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRS (Client Relationship Summary) - BD
Click below to view Christopher Michael Cronin's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC