Terry R. Otton
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.
Terry Richard Otton was a registered financial professional .
Terry is a previously registered financial professional and started their career in finance in 1991. Terry had worked at 7 firms and has passed the SIE, Series 6, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2014 - March 31, 2015
ROBERTSON STEPHENS SECURITIES
October 6, 2006 - March 6, 2012
GUARDIAN INVESTOR SERVICES LLC
May 13, 2004 - October 6, 2006
FORESIDE FUNDS DISTRIBUTORS LLC
March 12, 2001 - April 14, 2004
NATIONAL BANK OF CANADA FINANCIAL INC.
September 1, 1998 - March 5, 2001
ROBERTSON STEPHENS, INC.
October 1, 1997 - September 1, 1998
BANCAMERICA SECURITIES, INC.
October 10, 1991 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY 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
ROBERTSON STEPHENS SECURITIES
CRD#: 167704 / SEC#: , 8-69276
Contact information
Documents
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.
