Terrence R. Huston
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.
Terrence Raymond Huston, who also goes by Terrence R Houston, Terry Houston, Terrence R Huston, was a registered financial professional .
Terrence is a previously registered financial professional and started their career in finance in 1983. Terrence had worked at 9 firms and has passed the Series 63, Series 15, Series 3, Series 7, Series 4 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 21, 2003 - April 7, 2004
SUMMIT BROKERAGE SERVICES, INC.
February 3, 1999 - February 20, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 21, 1992 - June 30, 1997
DONALD & CO. SECURITIES INC.
January 29, 1992 - October 13, 1992
NOBLE CAPITAL MARKETS, INC.
July 2, 1990 - February 24, 1992
MERIDIAN, DUNHILL & CO., INC.
November 25, 1988 - May 21, 1990
CIBC WORLD MARKETS CORP.
October 16, 1986 - December 7, 1988
MORGAN STANLEY DW INC.
June 4, 1984 - October 27, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 23, 1983 - May 16, 1984
PRUDENTIAL EQUITY GROUP, 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
Series 15
Date: 12/10/1986
Foreign Currency Options ExaminationCurrent Firm
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
