Sheri L. Nicks
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.
Sheri Lynn Nicks, who also goes by Sheri Lynn Kissell, Sheri Lynn Layher, Sheri Lynn Nicks-beatty, was a registered financial professional .
Sheri is a previously registered financial professional and started their career in finance in 2002. Sheri had worked at 7 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2008 - July 9, 2012
TRANSAMERICA CAPITAL, LLC
July 23, 2008 - November 6, 2008
EQUITABLE ADVISORS, LLC
February 5, 2007 - May 20, 2008
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
May 28, 2004 - October 15, 2004
NATIONAL PLANNING CORPORATION
April 6, 2004 - May 11, 2004
AFS BROKERAGE, INC.
February 23, 2004 - May 21, 2004
FALCO FINANCIAL SERVICES, INC.
August 12, 2002 - February 9, 2004
NYLIFE SECURITIES LLC
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
