Amy K. Schainost
Professional summary
Amy Kay Schainost is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
Amy is registered as a RR (Registered Representative) and started their career in finance in 1998. Amy has worked at 5 firms and has passed the Series 63, Series 7, Series 6, Series 14, Series 51, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Amy Kay Schainost's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 12, 2023 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202October 30, 2019 - June 21, 2023
MUTUAL SECURITIES, INC.
February 25, 2019 - October 14, 2019
SECURITIES AMERICA, INC.
October 29, 1998 - December 31, 2012
ALLSTATE FINANCIAL SERVICES, LLC
August 28, 1998 - October 29, 1998
AFD, 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
(7/12/2023)
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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