Francisco Yepez-ramos
Professional summary
Francisco Yepez-ramos, who also goes by Francisco Yepez, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
Francisco is registered as a RR (Registered Representative) and started their career in finance in 2024. Francisco has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Francisco Yepez-ramos's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2026 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202July 27, 2024 - December 19, 2025
RFS PARTNERS
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/29/2026)
(6/29/2026)
(6/29/2026)
(6/29/2026)
(6/29/2026)
Exams
Series 7TO
Date: 7/26/2024
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; 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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