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ST

Sarah L. Thompson

TRANSAMERICA CAPITAL
Cedar Rapids, IA 52404
Some features on this profile are disabled
CRD#: 5585829
ST

Professional summary

Sarah Louise Thompson, who also goes by Sarah Thompson, Sarah Louise Wetzel, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Cedar Rapids, Iowa.

Sarah is registered as a RR (Registered Representative) and started their career in finance in 2008. Sarah has worked at 1 firm and has passed the Series 6TO, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sarah Thompson | Sarah Louise Wetzel

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 Sarah Louise Thompson'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

January 1, 2024 - Present

TRANSAMERICA CAPITAL, LLC

Office #1: 6400 C Street Sw, Cedar Rapids, IA 52404
BD
CRD#: 8217
Cedar Rapids, IA
Past

September 10, 2008 - May 7, 2013

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
CEDAR RAPIDS, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 6TO
Date: 12/28/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/5/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/9/2008
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 2/16/2024
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TRANSAMERICA CAPITAL, LLC
ENDEAVOR GROUP | TRANSAMERICA CAPITAL, LLC | TRANSAMERICA CAPITAL, INC.

CRD#: 8217 / SEC#: , 8-24829

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AUSA HOLDING, LLCPARENT
ACKERMAN, TIMOTHY LEONDIRECTOR2311523
BEITZEL, BRIANDIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER6183770
CARNEY, ROBERT DONALDDIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD6747924
HALLORAN, MARK FRANCISDIRECTOR1128889
HELLERMAN, DOUGLASCHIEF COMPLIANCE OFFICER4696681

Disclosures

Regulatory Event3

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.

Company Information

TRANSAMERICA CAPITAL, LLC

CRD#: 8217Cedar Rapids, IA 52404

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