Keith D. Berstler
Professional summary
Keith Del Berstler, who also goes by Keith D Berstler, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
Keith is registered as a RR (Registered Representative) and started their career in finance in 2009. Keith has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Keith Del Berstler's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 18, 2014 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202June 8, 2011 - December 10, 2013
MUTUAL OF AMERICA SECURITIES LLC
June 8, 2011 - December 10, 2013
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
March 30, 2009 - May 16, 2011
PRUCO SECURITIES, 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
(11/13/2024)
(8/26/2022)
(4/12/2023)
Exams
Series 7TO
Date: 11/20/2018
General Securities Representative ExaminationFINRA
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 | 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 | 3 |
Red Flags
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