Christopher J. Giacone
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.
Christopher Joseph Giacone, who also goes by Christopher J Giacone, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2006. Christopher had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 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
January 25, 2019 - February 4, 2020
TRANSAMERICA CAPITAL, LLC
February 12, 2014 - January 17, 2019
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
July 3, 2012 - February 11, 2014
MONTAGE INVESTMENTS, LLC
January 31, 2012 - February 5, 2014
MSEC, LLC
January 5, 2011 - September 27, 2011
BLACKROCK FUND ADVISORS
January 5, 2011 - September 27, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
December 3, 2009 - December 9, 2009
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
March 31, 2008 - December 9, 2009
NYLIFE DISTRIBUTORS LLC
June 6, 2006 - November 20, 2007
VAN ECK SECURITIES 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
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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