Kevin D. Kelly

TRANSAMERICA CAPITAL

Denver, CO 80202

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CRD#: 4132099

Professional summary

Kevin David Kelly is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 2000. Kevin has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Kevin David Kelly'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

November 12, 2008 - Present

TRANSAMERICA CAPITAL, LLC

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

CRD#: 8217

Denver, CO

Past

May 2, 2006 - October 6, 2008

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

NEW YORK, NY

Past

April 27, 2006 - October 6, 2008

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NEW YORK, NY

Past

April 12, 2004 - June 8, 2005

LINCOLN FINANCIAL DISTRIBUTORS, INC.

RIA

CRD#: 145

PHILADELPHIA, PA

Past

March 7, 2001 - April 13, 2006

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

February 16, 2000 - January 11, 2001

SUMMIT FINANCIAL SERVICES GROUP, INC.

CRD#: 7246

BETHLEHEM, PA

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

Delaware
(11/12/2008)

Florida
(4/7/2021)

New Jersey
(11/12/2008)

Pennsylvania
(7/13/2009)

Exams

State Security Law Exam

IAR

Series 65

Date: 7/28/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/22/2000

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: 2/14/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/27/2002

General Securities 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

Kevin D. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin David Kelly's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLIANCEBERNSTEIN L.P.

ALLIANCEBERNSTEIN INVESTMENTS, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

SUMMIT FINANCIAL SERVICES GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/28/2003

Series 63

Date: 3/22/2000

SIE

Date: 10/1/2018

Series 7

Date: 2/14/2000

Series 24

Date: 11/27/2002

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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