Terry W. Mcnabb
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.
Terry Walter Mcnabb was a registered financial professional .
Terry is a previously registered financial professional and started their career in finance in 1983. Terry had worked at 5 firms and has passed the Series 63, Series 18, Series 22 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2012 - February 1, 2013
ATEL SECURITIES CORPORATION
September 10, 2010 - May 10, 2011
LIGHTSTONE SECURITIES, LLC
August 24, 1987 - December 3, 2008
CAPITAL CLIENT GROUP, INC.
December 6, 1984 - June 2, 1987
NOONEY SECURITIES INC.
October 6, 1983 - December 24, 1984
TRANSAMERICA CAPITAL, 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 18
Date: 5/19/1984
Securities Industry Rules and Regulations ExaminationCurrent Firm
ATEL SECURITIES CORPORATION
CRD#: 17229 / SEC#: , 8-35271
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
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.
