Erik D. Babbitt
Professional summary
Erik David Babbitt is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
Erik is registered as a RR (Registered Representative) and started their career in finance in 2004. Erik has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Erik David Babbitt's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 9, 2022 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202August 26, 2021 - August 3, 2022
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 26, 2021 - August 3, 2022
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 31, 2015 - March 29, 2016
CURIAN CAPITAL, LLC
March 4, 2013 - January 12, 2021
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
June 28, 2011 - April 2, 2013
NATIONAL PLANNING CORPORATION
June 27, 2011 - April 2, 2013
NATIONAL PLANNING CORPORATION
January 14, 2010 - June 2, 2011
CURIAN CLEARING, LLC
August 10, 2009 - June 8, 2011
CURIAN CAPITAL, LLC
August 10, 2009 - December 31, 2009
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
January 27, 2006 - January 16, 2009
IVY DISTRIBUTORS, INC.
July 9, 2004 - January 16, 2009
WADDELL & REED
April 26, 2004 - January 16, 2009
WADDELL & REED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/9/2022)
(8/9/2022)
(8/9/2022)
Exams
FINRA
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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