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RB

Ryan P. Brookman

TRANSAMERICA CAPITAL
Denver, CO 80202
Some features on this profile are disabled
CRD#: 4565395
RB

Professional summary

Ryan Paul Brookman, who also goes by Ryan Brookman, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.

Ryan is registered as a RR (Registered Representative) and started their career in finance in 2002. Ryan has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 86, Series 87 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ryan Brookman

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.
DOORDASH POSITION: Driver NATURE: food delivery INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2019 ADDRESS: 901 Market St Suite 600, San Francisco CA 94103, United States DESCRIPTION: pickup /delivery of outsourced meal orders

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ryan Paul Brookman'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

March 31, 2025 - Present

TRANSAMERICA CAPITAL, LLC

Office #1: 1801 California St Suite 5200, Denver, CO 80202
BD
CRD#: 8217
Denver, CO
Past

January 31, 2024 - April 21, 2025

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
Irvine, CA
Past

November 17, 2022 - March 1, 2023

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

July 15, 2021 - July 11, 2022

FISHER INVESTMENTS

RIA
CRD#: 107342
CAMAS, WA
Past

April 2, 2018 - May 14, 2021

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
CHARLOTTE, NC
Past

July 5, 2017 - January 9, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
SAN FRANCISCO, CA
Past

July 8, 2013 - September 17, 2015

FINANCIAL TELESIS INC

BD
CRD#: 31012
EMERYVILLE, CA
Past

June 15, 2011 - November 2, 2012

THINKEQUITY LLC

BD
CRD#: 44274
SAN FRANCISCO, CA
Past

April 28, 2010 - February 24, 2011

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
CHICAGO, IL
Past

February 25, 2010 - April 15, 2010

THINKEQUITY LLC

BD
CRD#: 44274
CHICAGO, IL
Past

November 5, 2009 - February 17, 2010

OPPENHEIMER & CO. INC.

BD
CRD#: 249
DENVER, CO
Past

October 23, 2002 - March 11, 2006

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 31, 2002 - December 6, 2002

BAYSIDE FINANCIAL, LLC

BD
CRD#: 44211
WALNUT CREEK, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Idaho
(3/31/2025)
RR
Oregon
(3/31/2025)
RR
Utah
(3/31/2025)
RR
Washington
(5/2/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/15/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/17/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 7/14/2011
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 1/11/2010
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 11/4/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TRANSAMERICA CAPITAL, LLC
ENDEAVOR GROUP | TRANSAMERICA CAPITAL, LLC | TRANSAMERICA CAPITAL, INC.

CRD#: 8217 / SEC#: , 8-24829

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AUSA HOLDING, LLCPARENT
ACKERMAN, TIMOTHY LEONDIRECTOR2311523
BEITZEL, BRIANDIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER6183770
CARNEY, ROBERT DONALDDIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD6747924
HALLORAN, MARK FRANCISDIRECTOR1128889
HELLERMAN, DOUGLASCHIEF COMPLIANCE OFFICER4696681

Disclosures

Regulatory Event3

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.

Company Information

TRANSAMERICA CAPITAL, LLC

CRD#: 8217Denver, CO 80202

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