Douglas Hellerman
Professional summary
Douglas Hellerman, who also goes by Doug Gary Hellerman, Douglas Gary Hellerman, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 2003. Douglas has worked at 7 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 14, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Douglas Hellerman's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 12, 2018 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202January 15, 2015 - September 13, 2017
CURIAN CLEARING, LLC
January 10, 2014 - October 19, 2016
CURIAN CAPITAL, LLC
July 10, 2013 - September 11, 2018
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
June 6, 2007 - June 26, 2013
HORNOR, TOWNSEND & KENT, LLC
May 29, 2007 - June 26, 2013
HORNOR, TOWNSEND & KENT, LLC
October 22, 2003 - July 30, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
October 6, 2003 - July 30, 2005
IDS LIFE INSURANCE COMPANY
October 6, 2003 - July 30, 2005
AMERIPRISE FINANCIAL SERVICES, 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
(10/12/2018)
(8/19/2022)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
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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