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Gregory Patrick Farley

Transamerica Capital, Inc.

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About Gregory Patrick Farley

Gregory Farley is a financial advisor with over 30 years of experience in the financial services industry. He is currently registered with Transamerica Capital, Inc. and has held previous positions with Sun Life Financial Distributors, Inc., Securian Financial Services, Inc., AFD, Inc., Equitable Distributors, Inc., Fortis Investors, Inc., Elan Investment Services, Inc., OppenheimerFunds Distributor, Inc., Secura Investments, Inc., Hutchison Financial Corporation and Capital Alliance Investments Incorporated. Gregory is a Series 7, Series 24 and Series 63 licensed professional.

Firm Information

Gregory Farley is currently registered with Transamerica Capital, Inc.. Transamerica Capital, Inc. is a Corporation formed on March 14, 1977 and approved in 53 states and the SEC. The firm is registered to provide investment advisory services.

Not reported

Assets Under Management

Not reported

Total Clients

140

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Gregory Farley’s Registration & Firm History

CO

09/20/2007 - Present

Transamerica Capital, Inc. (Denver CO)

MA

03/06/2006 - 04/16/2007

SUN LIFE FINANCIAL DISTRIBUTORS, INC. (WELLESLEY HILLS MA)

MN

03/11/2002 - 02/24/2006

SECURIAN FINANCIAL SERVICES, INC. (ST PAUL MN)

IL

02/02/1999 - 10/18/2001

AFD, INC. (NORTHBROOK IL)

NC

05/15/1997 - 12/14/1998

EQUITABLE DISTRIBUTORS, INC. (CHARLOTTE NC)

MN

06/20/1996 - 05/20/1997

FORTIS INVESTORS, INC. (OAKDALE MN)

NJ

07/06/1995 - 05/06/1996

ELAN INVESTMENT SERVICES, INC. (MORRIS PLAINS NJ)

NY

11/19/1991 - 07/10/1995

OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)

WI

09/15/1988 - 11/25/1991

SECURA INVESTMENTS, INC. (APPLETON WI)

NA

08/03/1987 - 12/19/1988

HUTCHISON FINANCIAL CORPORATION

NA

12/26/1986 - 05/14/1987

CAPITAL ALLIANCE INVESTMENTS INCORPORATED

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Licenses & Designations

BC

Issued 11/02/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/31/1989

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/20/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Gregory Patrick Farley.
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