Joshua T. Johnson

TRANSAMERICA CAPITAL

Denver, CO 80202

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CRD#: 4782622

Professional summary

Joshua Tyler Johnson, who also goes by Joshua Johnson, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.

Joshua is registered as a RR (Registered Representative) and started their career in finance in 2004. Joshua has worked at 7 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joshua Johnson

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joshua Tyler Johnson'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

August 17, 2017 - Present

TRANSAMERICA CAPITAL, LLC

Office #1: 1801 California St Suite 5200, Denver, CO 80202

CRD#: 8217

Denver, CO

Past

July 27, 2007 - August 24, 2015

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

January 26, 2007 - February 26, 2007

INVESTORS CAPITAL CORP.

CRD#: 30613

MCLEAN, VA

Past

September 21, 2005 - November 28, 2006

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

Past

July 6, 2005 - August 4, 2005

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

June 14, 2005 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

August 9, 2004 - June 21, 2005

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

State Registrations and Notice Filings

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

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

Colorado
(8/18/2017)

Exams

State Security Law Exam

Series 63

Date: 8/13/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/7/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TRANSAMERICA CAPITAL, LLC

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

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

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)

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

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.

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Advisor Monitoring

Firm Stability Insights

Joshua T. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joshua Tyler Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHERN TRUST SECURITIES, INC.

INVESTORS CAPITAL CORP.

VANGUARD MARKETING CORPORATION

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/13/2004

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/7/2004

FINRA

Current Firm

TRANSAMERICA CAPITAL, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TRANSAMERICA CAPITAL, LLC

TRUST BUT VERIFY

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