Theresa A. Bain
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.
Theresa Ann Bain, who also goes by Theresa Ann Barker, was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 1989. Theresa had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 27 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 17, 2002 - April 9, 2018
TCADVISORS NETWORK INC.
September 1, 2001 - January 11, 2002
NF CLEARING, INC.
September 30, 1994 - September 1, 2001
FISERV CORRESPONDENT SERVICES, INC.
January 22, 1993 - October 10, 1994
HANIFEN, IMHOFF INC.
July 17, 1990 - December 31, 1992
KOBER FINANCIAL CORP.
October 13, 1989 - June 20, 1990
ROYCE PARK INVESTMENTS, INC.
May 25, 1989 - July 5, 1989
SECURITIES USA, INC.
March 21, 1989 - June 2, 1989
J. W. GANT & ASSOCIATES, 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
TCADVISORS NETWORK INC.
CRD#: 35794 / SEC#: , 8-46909
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINN, STEPHEN ANDREW | SHAREHOLDER | 1749769 |
| BIENEMANN, STEVEN JAMES | REGUSTERED PRINCIPAL | 5194856 |
| DYKES, ROBERT ROSCOE | SHAREHOLDER | 6764816 |
| HEBERT, CHESTER JOSEPH | CCO | 1678446 |
| LEIGHT, GARY ALAN | SHAREHOLDER | 6749795 |
| MASSA, MARK WILLIAM | SHAREHOLDER | 6227919 |
| OSTERLUND, PATTY DIANN | SHAREHOLDER | |
| OSTERLUND, RODNEY WILLIAM | SHAREHOLDER | |
| PACE, JOSHUA ADAM | SHAREHOLDER | 6576915 |
Disclosures
| Regulatory Event | 2 |
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.
