Teresa L. Stolba
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.
Teresa Lee Stolba, who also goes by Teresa Lee Havlik, Teresa L Stolba, Teresa Lee Stolba Ms., Teresa Lee Stolba, was a registered financial professional .
Teresa is a previously registered financial professional and started their career in finance in 1998. Teresa had worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2019 - April 21, 2020
TRANSAMERICA CAPITAL, LLC
January 13, 2015 - July 1, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 3, 2012 - October 30, 2014
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
April 3, 2007 - May 23, 2012
TRANSAMERICA CAPITAL, LLC
October 22, 1999 - October 23, 2007
AFSG SECURITIES CORPORATION
September 15, 1998 - October 22, 1999
TRANSAMERICA FINANCIAL ADVISORS, LLC
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.
