Anthony J. Anderson
Professional summary
Anthony John Anderson, who also goes by Anthony John Anderson, Anthony J Anderson, Anthony Anderson, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
Anthony is registered as a RR (Registered Representative) and started their career in finance in 2014. Anthony has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Anthony John Anderson's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 24, 2024 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202August 20, 2018 - June 28, 2021
TRANSAMERICA CAPITAL, LLC
June 19, 2018 - August 7, 2018
EMPOWER FINANCIAL SERVICES, INC.
September 24, 2015 - June 8, 2018
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
June 3, 2014 - September 17, 2015
WELLS FARGO CLEARING SERVICES, 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
(6/27/2024)
(6/28/2024)
(10/25/2024)
(6/27/2024)
(10/31/2024)
Exams
Series 7TO
Date: 3/27/2024
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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