Nicholas R. Stoltz
Professional summary
Nicholas Ryan Stoltz is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2006. Nicholas has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Ryan Stoltz's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 23, 2018 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202January 5, 2016 - March 29, 2016
CURIAN CAPITAL, LLC
November 3, 2014 - July 27, 2018
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
January 6, 2014 - January 9, 2014
LPL FINANCIAL LLC
January 6, 2014 - January 9, 2014
LPL FINANCIAL LLC
August 29, 2012 - December 13, 2013
PNC WEALTH MANAGEMENT LLC
August 29, 2012 - December 13, 2013
PNC WEALTH MANAGEMENT LLC
October 4, 2011 - August 13, 2012
MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC
October 4, 2011 - August 13, 2012
FEDERATED SECURITIES CORP.
October 4, 2011 - August 13, 2012
FEDERATED INVESTMENT COUNSELING
August 18, 2011 - August 13, 2012
FEDERATED SECURITIES CORP.
August 25, 2006 - December 15, 2008
GLOBAL ATLANTIC DISTRIBUTORS, 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
(7/23/2018)
(3/1/2021)
(10/17/2022)
(7/1/2024)
(9/27/2022)
(3/1/2021)
(6/17/2020)
(9/27/2022)
(7/18/2022)
(7/13/2022)
(6/26/2024)
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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