Terrence P. Riely
Professional summary
Terrence Paul Riely was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Terrence is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Terrence had worked at 10 firms, which includes CETERA WEALTH SERVICES LLC, TITLEIST CAPITAL LLC, NATIONAL PLANNING CORPORATION, CONCOURSE FINANCIAL GROUP SECURITIES INC., NAVIGATOR SECURITIES LIMITED, TITAN/VALUE EQUITIES GROUP INC., FSC SECURITIES CORPORATION, MASON HUNT & CO. INC., INTEGRATED RESOURCES EQUITY CORPORATION, ASHFORD SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2006 - July 11, 2006
CETERA WEALTH SERVICES, LLC
August 18, 2005 - June 20, 2006
TITLEIST CAPITAL, LLC
November 22, 2002 - January 16, 2004
NATIONAL PLANNING CORPORATION
July 26, 1999 - August 25, 2000
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 2, 1995 - December 24, 1997
NAVIGATOR SECURITIES LIMITED
October 29, 1993 - September 22, 1995
TITAN/VALUE EQUITIES GROUP, INC.
August 24, 1989 - October 5, 1993
NAVIGATOR SECURITIES LIMITED
October 6, 1988 - August 8, 1989
FSC SECURITIES CORPORATION
February 2, 1988 - October 11, 1988
MASON, HUNT & CO., INC.
November 19, 1985 - February 8, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
November 29, 1983 - September 16, 1986
ASHFORD SECURITIES CORPORATION
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
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
Red Flags
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