Alexei N. Nicolov
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.
Alexei N Nicolov III, who also goes by Alex Nicolov, Alexei N Nicolov, was a registered financial professional .
Alexei is a previously registered financial professional and started their career in finance in 2008. Alexei had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2012 - November 30, 2017
TRANSAMERICA CAPITAL, LLC
April 25, 2011 - February 28, 2012
NORTHSTAR SECURITIES, LLC
February 2, 2011 - March 23, 2011
USAA FINANCIAL ADVISORS, INC.
March 2, 2010 - December 8, 2010
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
November 20, 2009 - December 8, 2010
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
August 24, 2009 - November 20, 2009
CHASE INVESTMENT SERVICES CORP.
August 24, 2009 - November 20, 2009
CHASE INVESTMENT SERVICES CORP.
August 25, 2008 - August 3, 2009
WELLS FARGO CLEARING SERVICES, LLC
August 6, 2008 - August 3, 2009
WELLS FARGO CLEARING SERVICES, LLC
March 6, 2008 - May 15, 2008
RBC CAPITAL MARKETS, 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
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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