Michael J. Antosy
Professional summary
Michael James Antosy, who also goes by Michael J Antosy, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael James Antosy's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 15, 2014 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202June 30, 2009 - November 22, 2013
GUARDIAN INVESTOR SERVICES LLC
June 19, 2008 - April 23, 2009
COREBRIDGE CAPITAL SERVICES, INC.
October 22, 2003 - June 20, 2008
GLOBAL ATLANTIC DISTRIBUTORS, LLC
May 31, 2002 - October 27, 2003
LINCOLN FINANCIAL DISTRIBUTORS, INC.
September 27, 2001 - May 10, 2002
J.P. MORGAN SECURITIES INC.
April 24, 2000 - July 31, 2001
MORGAN STANLEY DW 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
(1/15/2014)
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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