Terry L. Shockey
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 Lovell Shockey, who also goes by Terry Lovell Shockey Mr., was a registered financial advisor .
Terry is a previously registered financial advisor and started their career in finance in 1982. Terry had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 27, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2003 - October 27, 2010
LAKE SHORE ENTERPRISES, INC.
August 8, 1990 - December 31, 2015
FINANCIAL AMERICA SECURITIES, INC.
May 16, 1989 - June 28, 1990
FIRST OHIO SECURITIES COMPANY
August 22, 1985 - May 13, 1989
CIDCO INVESTMENT SERVICES, INC.
November 5, 1982 - August 22, 1985
LAKE SHORE ENTERPRISES, INC.
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
LAKE SHORE ENTERPRISES, INC.
CRD#: 11102 / SEC#: , 8-28320
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.
