Gregory A. Padgett
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.
Gregory A Padgett, who also goes by Gregory Alan Padgett, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2003. Gregory had worked at 9 firms and has passed the Series 65, Series 63, SIE 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 10, 2024 - August 7, 2025
TRANSAMERICA CAPITAL, LLC
January 3, 2023 - January 2, 2024
COREBRIDGE CAPITAL SERVICES, INC.
January 19, 2016 - March 29, 2016
CURIAN CAPITAL, LLC
April 1, 2014 - January 4, 2023
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
July 20, 2011 - March 24, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 27, 2011 - March 24, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 4, 2010 - April 8, 2011
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
September 23, 2008 - May 13, 2009
EQUITABLE DISTRIBUTORS, LLC
April 14, 2008 - September 24, 2008
TRANSAMERICA CAPITAL, LLC
April 14, 2005 - April 11, 2008
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
December 11, 2004 - March 24, 2005
METLIFE INVESTORS DISTRIBUTION COMPANY
March 27, 2003 - December 11, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
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
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