Jon T. Leffew

TRANSAMERICA CAPITAL

Denver, CO 80202

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CRD#: 3157342

Professional summary

Jon T Leffew, who also goes by Jon Travis Leffew, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.

Jon is registered as a RR (Registered Representative) and started their career in finance in 1999. Jon has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jon Travis Leffew

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jon T Leffew's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 17, 2023 - Present

TRANSAMERICA CAPITAL, LLC

Office #1: 1801 California St Suite 5200, Denver, CO 80202

CRD#: 8217

Denver, CO

Past

January 5, 2021 - May 31, 2023

BARNABAS CAPITAL, LLC

CRD#: 297890

CHARLOTTE, NC

Past

January 16, 2016 - April 1, 2020

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

June 1, 2015 - December 2, 2015

STRATCAP SECURITIES, LLC

CRD#: 151152

NEW YORK, NY

Past

April 2, 2012 - December 8, 2015

REALTY CAPITAL SECURITIES, LLC

CRD#: 145454

MOORESVILLE, NC

Past

July 22, 2010 - March 27, 2012

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

Past

January 22, 2007 - January 4, 2010

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

Past

July 27, 2000 - January 18, 2007

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

Past

February 2, 1999 - July 6, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arkansas
(2/13/2025)

North Carolina
(8/17/2023)

Exams

State Security Law Exam

Series 63

Date: 5/25/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/16/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/30/2013

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 3/30/2005

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

TRANSAMERICA CAPITAL, LLC

ENDEAVOR GROUP | TRANSAMERICA CAPITAL, LLC | TRANSAMERICA CAPITAL, INC.

CRD#: 8217 / SEC#: , 8-24829

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

1801 California St. Suite 5200, Denver, CO 80202

Mailing Address

1801 California St. Suite 5200, Denver, CO 80202

Phone number

(720) 482-1500

Established

Iowa since 12/31/2024

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

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

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.

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Advisor Monitoring

Firm Stability Insights

Jon T. Leffew

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jon T Leffew's CRS (Customer Relationship Summary).

Certified licenses

Experience

BARNABAS CAPITAL, LLC

CANTOR FITZGERALD & CO.

STRATCAP SECURITIES, LLC

REALTY CAPITAL SECURITIES, LLC

PACIFIC SELECT DISTRIBUTORS, LLC

EQUITABLE DISTRIBUTORS, LLC

GLOBAL ATLANTIC DISTRIBUTORS, LLC

J.C. BRADFORD & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/25/2000

SIE

Date: 10/1/2018

Series 7

Date: 12/16/1998

Series 24

Date: 5/30/2013

Series 26

Date: 3/30/2005

FINRA

Current Firm

TRANSAMERICA CAPITAL, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TRANSAMERICA CAPITAL, LLC

TRUST BUT VERIFY

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