Brian C. Dumonte

TRANSAMERICA CAPITAL

Denver, CO 80202

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CRD#: 5398241

Professional summary

Brian Christopher Dumonte is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.

Brian is registered as a RR (Registered Representative) and started their career in finance in 2009. Brian has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Brian Christopher Dumonte'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

July 17, 2024 - Present

TRANSAMERICA CAPITAL, LLC

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

CRD#: 8217

Denver, CO

Past

September 21, 2023 - March 1, 2024

POTOMAC

RIA

CRD#: 105413

Bothell, WA

Past

October 26, 2021 - September 1, 2022

BRINKER CAPITAL SECURITIES, LLC

CRD#: 38123

BERWYN, PA

Past

August 3, 2020 - September 1, 2022

ORION PORTFOLIO SOLUTIONS, LLC

RIA

CRD#: 125446

Bothell, WA

Past

July 11, 2017 - June 26, 2020

MORNINGSTAR INVESTMENT SERVICES LLC

RIA

CRD#: 112525

CHICAGO, IL

Past

July 10, 2017 - June 26, 2020

MORNINGSTAR INVESTMENT SERVICES LLC

CRD#: 112525

CHICAGO, IL

Past

April 9, 2010 - May 18, 2017

ENVESTNET PMC

RIA

CRD#: 111694

CHICAGO, IL

Past

April 17, 2009 - May 18, 2017

PORTFOLIO BROKERAGE SERVICES, INC.

CRD#: 18554

CHICAGO, IL

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

Alaska
(7/18/2024)

Idaho
(5/2/2025)

Montana
(8/5/2024)

Washington
(7/17/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 4/7/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/2009

General Securities Representative 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

Brian C. Dumonte

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Christopher Dumonte's CRS (Customer Relationship Summary).

Certified licenses

Experience

POTOMAC

BRINKER CAPITAL SECURITIES, LLC

ORION PORTFOLIO SOLUTIONS, LLC

MORNINGSTAR INVESTMENT SERVICES LLC

MORNINGSTAR INVESTMENT SERVICES LLC

ENVESTNET PMC

PORTFOLIO BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/7/2010

SIE

Date: 10/1/2018

Series 7

Date: 4/16/2009

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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