Teresa M. Bolster
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.
Teresa Maureen Bolster, who also goes by Teresa M Szok, was a registered financial professional .
Teresa is a previously registered financial professional and started their career in finance in 1998. Teresa had worked at 7 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2017 - April 26, 2023
PENSERRA SECURITIES, LLC
June 2, 2009 - May 18, 2017
CHEEVERS & COMPANY, LLC
October 6, 2008 - May 5, 2009
CHEEVERS & COMPANY, LLC
November 8, 2006 - October 13, 2008
UBS SECURITIES LLC
August 12, 2005 - November 20, 2006
TJM INVESTMENTS, LLC
May 22, 2003 - September 5, 2003
REFCO SECURITIES, LLC
April 6, 2001 - November 14, 2001
DREHER & ASSOCIATES, INC.
July 10, 1998 - February 28, 2001
CHARLES SCHWAB & CO., 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PENSERRA SECURITIES, LLC
CRD#: 145994 / SEC#: , 8-67773
Contact information
FINRA licenses (17 States and Territories)
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.
