Teresa A. Law
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 Ann Law, who also goes by Teresa Ann Lange, Teresa Ann Powell, was a registered financial professional .
Teresa is a previously registered financial professional and started their career in finance in 1993. Teresa had worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2007 - July 31, 2015
ZIONS CAPITAL ADVISORS, INC.
May 6, 2005 - December 31, 2006
ZIONS DIRECT, INC.
February 3, 1993 - July 31, 2015
ZIONS DIRECT, INC.
Primary Firm SEC Registration
ZIONS CAPITAL ADVISORS, INC.
CRD#: 131308 / SEC#: 801-63287
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
ZIONS CAPITAL ADVISORS, INC.
CRD#: 131308 / SEC#: 801-63287
Contact information
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 88 |
| AUM (Assets Under Management) | $ 1,460,957,454 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/11/2025 | ||
| 02/26/2024 | ||
| 02/21/2023 |
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.
