Terence E. Salzer
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.
Terence E Salzer, who also goes by Terry E Salzer, Terry Salzer, was a registered financial professional .
Terence is a previously registered financial professional and started their career in finance in 1983. Terence had worked at 15 firms and has passed the Series 63, SIE, Series 50, Series 7 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
July 31, 2015 - May 28, 2019
BNY MELLON CAPITAL MARKETS, LLC
September 11, 2014 - May 15, 2015
CASTLEOAK SECURITIES, LP
January 10, 2011 - March 19, 2014
BNP PARIBAS SECURITIES CORP.
July 6, 2009 - December 14, 2010
MORGAN KEEGAN & COMPANY, LLC
October 1, 2008 - May 27, 2009
J.P. MORGAN SECURITIES LLC
August 4, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
September 9, 2005 - August 11, 2006
J.P. MORGAN SECURITIES LLC
August 26, 2002 - September 21, 2005
LEHMAN BROTHERS INC.
January 3, 1997 - January 18, 2002
UBS SECURITIES LLC
August 8, 1995 - November 11, 1996
GRIGSBY & ASSOCIATES, INC.
December 9, 1992 - July 12, 1995
SMITH MITCHELL INVESTMENT GROUP INC.
February 27, 1991 - November 23, 1992
CHARLES SCHWAB & CO., INC.
October 25, 1990 - March 7, 1991
SUTRO & CO. INCORPORATED
October 17, 1989 - September 11, 1990
YAMAICHI INTERNATIONAL (AMERICA) INC.
November 14, 1986 - September 12, 1989
MIDLAND MONTAGU SECURITIES INC.
January 21, 1983 - August 28, 1984
FRANKLIN/TEMPLETON DISTRIBUTORS, 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
BNY MELLON CAPITAL MARKETS, LLC
CRD#: 17454 / SEC#: , 8-35255
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY CAPITAL MARKETS HOLDINGS, INC. | SOLE SHAREHOLDER | |
| BARYSH, ROBERT PHILIP | CHIEF OPERATIONS OFFICER (COO), PRINCIPAL OPERATIONS OFFICER | 2800329 |
| DUFFANY, STEPHEN JOHN | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2535640 |
| GOODHEART, JOHN | BOARD OF MANAGERS | 2419623 |
| HIGGINS, ALISON MATTHESEN | BOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER (CCO) | 6718782 |
| KLINGER, DANIEL ADAM | BOARD OF MANAGERS | 2983871 |
| LYNCH, ROBERT E | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 2981333 |
| MCCORMICK, JEFFREY | BOARD OF MANAGERS | 5261504 |
| SKOKO, DRAGAN | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 4394961 |
Disclosures
| Regulatory Event | 24 |
| 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.
