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PK

Pavan N. Kothari

TRANSAMERICA CAPITAL
DENVER, CO 80202
CRD#: 6214715
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PK
Pavan Nikesh KothariTRANSAMERICA CAPITAL

Professional summary

Pavan Nikesh Kothari, who also goes by Pavan Kothari, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.

Pavan is registered as a RR (Registered Representative) and started their career in finance in 2013. Pavan has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Pavan Kothari

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 Pavan Nikesh Kothari'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

June 8, 2026 - Present

TRANSAMERICA CAPITAL, LLC

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

March 12, 2015 - May 29, 2025

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA
CRD#: 109591
NEW YORK, NY
Past

March 9, 2015 - May 29, 2025

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
NEW YORK, NY
Past

October 17, 2014 - February 10, 2015

MCADAM LLC

RIA
CRD#: 170914
JERSEY CITY, NJ
Past

October 3, 2014 - February 11, 2015

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Jersey City, NJ
Past

November 13, 2013 - October 3, 2014

VOYA FINANCIAL ADVISORS, INC.

RIA
CRD#: 2882
JERSEY CITY, NJ
Past

October 24, 2013 - October 3, 2014

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
JERSEY CITY, NJ

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
Ohio
(6/8/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/12/2013
Uniform Combined 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: 10/24/2013
General Securities 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)

Documents

Direct owners and executive officers

NamePositionCRD#
AUSA HOLDING, LLCPARENT
ACKERMAN, TIMOTHY LEONDIRECTOR; PRESIDENT, ASSET MANAGEMENT DISTRIBUTION2311523
BEITZEL, BRIANDIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER6183770
CRESSMAN, JONATHAN SCOTTPRESIDENT, ANNUITY DISTRIBUTION2837287
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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