Steven C. Talley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven Chris Talley was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1998. Steven had worked at 10 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2013 - July 28, 2014
TRANSAMERICA CAPITAL, LLC
June 25, 2013 - August 27, 2013
INNOVATION PARTNERS LLC
January 15, 2010 - February 21, 2013
CURIAN CLEARING, LLC
November 2, 2009 - February 21, 2013
CURIAN CAPITAL, LLC
November 2, 2009 - December 31, 2009
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
July 6, 2009 - October 28, 2009
EDWARD JONES
June 22, 2009 - October 28, 2009
EDWARD JONES
March 29, 2007 - January 22, 2009
ING INVESTMENT MANAGEMENT SERVICES LLC
February 8, 2006 - December 5, 2006
E*TRADE SECURITIES LLC
February 15, 1999 - December 31, 2005
HARRISDIRECT LLC
September 4, 1998 - January 14, 1999
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRANSAMERICA CAPITAL, LLC
CRD#: 8217 / SEC#: , 8-24829
Contact information
FINRA licenses (53 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 | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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