Lee V. Harpel
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.
Lee Victor Harpel, CFP®, who also goes by Lee V Harpel, Lee VIctor Harpel, Lee Harpel, was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 2005. Lee had worked at 7 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 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
March 13, 2023 - January 30, 2024
TRANSAMERICA CAPITAL, LLC
October 5, 2020 - December 20, 2022
CHARLES SCHWAB & CO., INC.
October 5, 2020 - December 20, 2022
CHARLES SCHWAB & CO., INC.
June 8, 2020 - August 25, 2020
USAA INVESTMENT SERVICES COMPANY
February 5, 2020 - July 30, 2020
USAA INVESTMENT SERVICES COMPANY
January 28, 2020 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
February 6, 2018 - September 4, 2018
BANCWEST INVESTMENT SERVICES, INC.
February 6, 2018 - September 4, 2018
BANCWEST INVESTMENT SERVICES, INC.
August 31, 2016 - January 22, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 3, 2016 - January 22, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 9, 2005 - October 28, 2015
VANGUARD MARKETING CORPORATION
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
Series 6TO
Date: 3/13/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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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