Stephen A. Donahue
Professional summary
Stephen Andrew Donahue, who also goes by Stephen Donahue, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1999. Stephen has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Andrew Donahue's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 11, 2014 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202August 21, 2012 - June 12, 2014
DWS DISTRIBUTORS, INC.
February 10, 2012 - August 20, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC
April 20, 2004 - December 31, 2011
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
June 17, 2003 - April 7, 2004
PACIFIC SELECT DISTRIBUTORS, LLC
September 10, 1999 - July 21, 2003
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
February 3, 1999 - June 16, 1999
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/13/2025)
(6/11/2014)
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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