Stephen C. Moglia
Professional summary
Stephen Christopher Moglia is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado and TRANSAMERICA INVESTORS SECURITIES, LLC located in Harrison, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2026. Stephen has worked at 2 firms and has passed the Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Christopher Moglia's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 12, 2026 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202April 7, 2026 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
Office #1: 440 Mamaroneck Avenue, Harrison, NY 10528State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 2/12/2026
General Securities Representative ExaminationFINRA
Current Firm
TRANSAMERICA INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| BEITZEL, BRIAN | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 6183770 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
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.
