Joseph P. Conlan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Patrick Conlan was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2001. Joseph had worked at 7 firms and has passed the Series 65, Series 63, Series 3, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2024 - April 10, 2026
TRANSAMERICA INVESTORS SECURITIES, LLC
January 11, 2024 - April 10, 2026
TRANSAMERICA RETIREMENT ADVISORS, LLC
August 8, 2018 - February 15, 2022
MML INVESTORS SERVICES, LLC
October 27, 2016 - February 15, 2022
MML INVESTORS SERVICES, LLC
May 5, 2011 - December 4, 2015
REALTY CAPITAL SECURITIES, LLC
August 26, 2010 - December 22, 2010
MADISON PROPRIETARY TRADING GROUP, LLC
January 17, 2006 - December 18, 2007
SUSQUEHANNA FINANCIAL GROUP, LLLP
January 12, 2001 - January 22, 2008
SAL EQUITY TRADING, GP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 3/23/2001
Limited Representative-Equity Trader ExamCurrent 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
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