Francis M. Hogan
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.
Francis Matthew Hogan, who also goes by F Matthew Hogan, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1998. Francis had worked at 6 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2011 - April 26, 2013
TRANSAMERICA CAPITAL, LLC
November 5, 2010 - June 23, 2011
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
May 27, 2009 - June 23, 2011
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
July 31, 2006 - August 22, 2007
NATIONWIDE INVESTMENT SERVICES CORPORATION
April 17, 2002 - November 30, 2004
FIDELITY DISTRIBUTORS COMPANY LLC
June 13, 2000 - March 7, 2002
EVERLAKE DISTRIBUTORS, LLC
March 2, 1998 - June 6, 2000
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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 | 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.
