Janelle R. Daley
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.
Janelle R N Daley, who also goes by Janelle Renee Niles Daley, Janelle Renee Nils Daley, Janelle R Daley, Janelle Renee Daley, Janelle Daley, Janelle Renee Niles, was a registered financial professional .
Janelle is a previously registered financial professional and started their career in finance in 2016. Janelle had worked at 4 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2020 - July 1, 2024
TRANSAMERICA CAPITAL, LLC
December 19, 2019 - October 21, 2020
PRUCO SECURITIES, LLC.
November 13, 2018 - December 20, 2019
BANKERS LIFE SECURITIES, INC.
June 23, 2016 - October 12, 2018
J.P. MORGAN 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
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
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