Terrence F. Speiss
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.
Terrence Francis Speiss, who also goes by Terry Speiss, was a registered financial professional .
Terrence is a previously registered financial professional and started their career in finance in 1982. Terrence had worked at 9 firms and has passed the Series 63, 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
January 31, 2006 - August 31, 2016
ALLSTATE FINANCIAL SERVICES, LLC
April 7, 2005 - December 1, 2005
PRUCO SECURITIES, LLC.
November 12, 2004 - April 4, 2005
AMERITAS INVESTMENT COMPANY, LLC
October 15, 1999 - November 19, 2002
EQUITY SERVICES, INC.
June 7, 1999 - September 14, 1999
SIGNATOR INVESTORS, INC.
October 2, 1997 - December 31, 1998
EQUITY SERVICES, INC.
May 22, 1997 - October 3, 1997
NYLIFE SECURITIES LLC
November 22, 1994 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 22, 1994 - May 12, 1997
SIGNATOR INVESTORS, INC.
July 9, 1991 - August 2, 1993
AMERITAS INVESTMENT COMPANY, LLC
January 11, 1991 - April 1, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 11, 1991 - April 1, 1991
PRUCO SECURITIES, LLC.
May 17, 1990 - December 21, 1990
PRINCIPAL SECURITIES, INC.
August 9, 1982 - October 10, 1989
PRUCO SECURITIES, LLC.
March 12, 1982 - October 10, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
