Neal R. Walsh

TRANSAMERICA CAPITAL

Denver, CO 80202

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CRD#: 5155442

Professional summary

Neal Robert Walsh, who also goes by Neal Robert Walsh, Neal Walsh, Neil Walsh, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.

Neal is registered as a RR (Registered Representative) and started their career in finance in 2007. Neal has worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Neal Robert Walsh | Neal Walsh | Neil Walsh

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 Neal Robert Walsh'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

October 20, 2021 - Present

TRANSAMERICA CAPITAL, LLC

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

CRD#: 8217

Denver, CO

Past

April 20, 2020 - October 21, 2021

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

April 20, 2020 - October 21, 2021

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

Past

April 20, 2020 - October 21, 2021

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

April 29, 2019 - October 21, 2021

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

April 29, 2019 - October 21, 2021

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

March 22, 2011 - October 18, 2018

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

October 3, 2007 - August 23, 2010

MOUNTAINVIEW SECURITIES, LLC

CRD#: 7882

DENVER, CO

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
(10/20/2021)

Exams

State Security Law Exam

Series 63

Date: 6/27/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/2/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/10/2018

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/11/2009

General Securities Principal 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

Neal R. Walsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Neal Robert Walsh's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST ALLIED SECURITIES, INC.

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

MOUNTAINVIEW SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/27/2008

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/2/2007

Series 53

Date: 10/10/2018

Series 24

Date: 7/11/2009

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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