Audrey J. Alford
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.
Audrey Jayne Alford, who also goes by Audrey Jayne Alford, Jayne Alford, Audrey Jayne Alford-melchinger, Audrey Jayne Romanyk, was a registered financial professional .
Audrey is a previously registered financial professional and started their career in finance in 2003. Audrey had worked at 5 firms and has passed the Series 63, SIE 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
August 8, 2022 - November 20, 2024
TRANSAMERICA CAPITAL, LLC
May 5, 2021 - August 11, 2022
THE LEADERS GROUP, INC.
May 22, 2019 - March 5, 2021
IFP SECURITIES, LLC
September 27, 2017 - May 2, 2019
THE LEADERS GROUP, INC.
August 22, 2012 - October 11, 2017
LPL FINANCIAL LLC
April 28, 2005 - August 6, 2012
THE LEADERS GROUP, INC.
August 11, 2003 - April 14, 2005
SIGNATOR INVESTORS, INC.
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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