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CR

Courtney G. Rosepink

TRANSAMERICA CAPITAL
Denver, CO 80202
Some features on this profile are disabled
CRD#: 6032671
CR

Professional summary

Courtney Graham Rosepink, who also goes by Courtney Jane Graham, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.

Courtney is registered as a RR (Registered Representative) and started their career in finance in 2012. Courtney has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Courtney Jane Graham

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.
1- 06/2022 / Real Estate Rental / Investment Related / 2335 walnut st Unit 10 Denver co 80015 2- 11/14/2023 - Western Wealth Management, LLC - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 10/16/2023 - 160 Hours Per Month/ During Trading - I provide investment advisory services through Western Wealth Management, LLC, an independent investment advisor firm. I started this business activity in 11/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3- 01/22/2024 - Aprisent Financial Group, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 10/16/2023 - 160 Hours Per Month/ During Trading

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Courtney Graham Rosepink'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 14, 2025 - Present

TRANSAMERICA CAPITAL, LLC

Office #1: 1801 California St Suite 5200, Denver, CO 80202
BD
CRD#: 8217
Denver, CO
Past

October 16, 2023 - August 2, 2024

WESTERN WEALTH MANAGEMENT LLC

RIA
CRD#: 283545
Greenwood Village, CO
Past

January 6, 2023 - October 16, 2023

GPS WEALTH STRATEGIES GROUP, LLC

RIA
CRD#: 285507
Greenwood Village, CO
Past

June 7, 2022 - August 14, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
GREENWOOD VILLAGE, CO
Past

May 11, 2018 - May 26, 2022

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

January 5, 2017 - December 31, 2017

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

July 31, 2014 - November 2, 2016

NORTHSTAR SECURITIES, LLC

BD
CRD#: 150409
GREENWOOD VILLAGE, CO
Past

March 20, 2012 - July 26, 2014

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO

State Registrations and Notice Filings

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

RR
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

RR
Colorado
(1/14/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/21/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/9/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/5/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/19/2012
Investment Company Products/Variable Contracts Representative 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#: 8217Denver, CO 80202

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