Paul F. Surdakowski
Professional summary
Paul Francis Surdakowski, who also goes by Paul Surdakowski, Francis Paul Surdakowski Jr, Francis Paul Surdakowski, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
Paul is registered as a RR (Registered Representative) and started their career in finance in 2005. Paul has worked at 15 firms and has passed the Series 65, Series 66, SIE, Series 31, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul Francis Surdakowski's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 8, 2026 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202July 22, 2021 - May 1, 2026
NATIONWIDE INVESTMENT ADVISORS, LLC
July 22, 2021 - May 1, 2026
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 6, 2020 - October 9, 2020
TRANSAMERICA CAPITAL, LLC
June 5, 2019 - December 31, 2019
TLG ADVISORS, INC.
May 30, 2019 - December 31, 2019
THE LEADERS GROUP, INC.
January 13, 2016 - June 15, 2017
PURSHE KAPLAN STERLING INVESTMENTS
September 25, 2015 - June 6, 2017
WEALTHPLAN ADVISORS, LLC
June 3, 2013 - August 3, 2015
GLOBAL ATLANTIC DISTRIBUTORS, LLC
January 9, 2013 - February 15, 2013
MVP AMERICAN SECURITIES
September 15, 2011 - September 26, 2012
AEI SECURITIES, INC.
May 28, 2008 - August 18, 2011
CCO CAPITAL, LLC
February 13, 2008 - May 29, 2008
DIRECTED SERVICES LLC
August 21, 2007 - February 19, 2008
WELLS FARGO INVESTMENTS, LLC
April 17, 2007 - February 19, 2008
WELLS FARGO INVESTMENTS, LLC
August 12, 2006 - May 3, 2007
UBS FINANCIAL SERVICES INC.
September 26, 2005 - August 12, 2006
PIPER SANDLER & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/10/2026)
(6/8/2026)
(6/8/2026)
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; PRESIDENT, ASSET MANAGEMENT DISTRIBUTION | 2311523 |
| BEITZEL, BRIAN | DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER | 6183770 |
| CRESSMAN, JONATHAN SCOTT | PRESIDENT, ANNUITY DISTRIBUTION | 2837287 |
| HALLORAN, MARK FRANCIS | DIRECTOR | 1128889 |
| HELLERMAN, DOUGLAS | CHIEF COMPLIANCE OFFICER | 4696681 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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