Matthew D. Webb
Professional summary
Matthew David Webb is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 1998. Matthew has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Matthew David Webb's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 9, 2019 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202May 26, 2017 - May 20, 2019
INTEGRITY CAPITAL, LLC
January 14, 2009 - May 23, 2011
TRANSAMERICA INVESTMENT MANAGEMENT, LLC
April 17, 2006 - July 8, 2016
TRANSAMERICA CAPITAL, LLC
January 26, 2005 - January 23, 2006
TERRA NOVA FINANCIAL, LLC
May 17, 2004 - December 17, 2004
CURIAN CAPITAL, LLC
February 21, 2003 - December 17, 2004
INVESTMENT CENTERS OF AMERICA, INC.
September 29, 1999 - April 18, 2001
FISERV INVESTOR SERVICES, INC.
February 11, 1998 - August 31, 1999
DWS DISTRIBUTORS, 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
(9/9/2019)
Exams
FINRA
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 | 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
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