Yadira T. Manicotti
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.
Yadira Teresa Manicotti, who also goes by Yadira Teresa Franco, Yadira Teresa Gonzalez, Yadira Teresa Herring, Yadira Teresa Mancilla, Yadira Teresa Manicotti, Yadira Manicotti, was a registered financial professional .
Yadira is a previously registered financial professional and started their career in finance in 2002. Yadira had worked at 11 firms and has passed the Series 63, Series 66, SIE, Series 6 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
October 15, 2020 - May 17, 2021
TRANSAMERICA CAPITAL, LLC
June 25, 2020 - October 1, 2020
VANGUARD MARKETING CORPORATION
November 27, 2018 - December 11, 2019
W&S BROKERAGE SERVICES, INC.
May 4, 2009 - March 1, 2011
COUNTRY CAPITAL MANAGEMENT COMPANY
September 25, 2008 - May 8, 2009
ALLSTATE FINANCIAL SERVICES, LLC
November 13, 2007 - September 25, 2008
VALIC FINANCIAL ADVISORS, INC.
November 13, 2006 - September 25, 2008
VALIC FINANCIAL ADVISORS, INC.
August 23, 2006 - November 17, 2006
AMSOUTH INVESTMENT SERVICES, INC.
August 15, 2005 - August 9, 2006
CITICORP INVESTMENT SERVICES
March 2, 2005 - August 9, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
January 30, 2004 - May 17, 2004
BANC ONE SECURITIES CORPORATION
August 7, 2003 - January 20, 2004
WELLS FARGO INVESTMENTS, LLC
September 12, 2002 - August 1, 2003
BANC ONE SECURITIES CORPORATION
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
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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