Sean Kelbert
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.
Sean Kelbert, who also goes by Sean A Kelbert, Sean Aaron Kelbert, Sean Kelbert, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2012. Sean had worked at 4 firms and has passed the Series 65, 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
February 27, 2018 - October 12, 2020
TRANSAMERICA CAPITAL, LLC
November 9, 2015 - July 14, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 27, 2015 - July 14, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 22, 2013 - August 19, 2015
FIDELITY DISTRIBUTORS COMPANY LLC
May 8, 2012 - April 5, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 3, 2012 - April 5, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
