Amy K. Schainost
Professional summary
Amy Kay Schainost is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado and TRANSAMERICA INVESTORS SECURITIES, LLC located in Harrison, New York.
Amy is registered as a RR (Registered Representative) and started their career in finance in 1998. Amy has worked at 6 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 80202April 20, 2026 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
Office #1: 440 Mamaroneck Avenue, Harrison, NY 10528October 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 INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| BEITZEL, BRIAN | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 6183770 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
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.
