Teresa A. Oxford
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 Oxford, who also goes by Teresa Ann Phelps, was a registered financial professional .
Teresa is a previously registered financial professional and started their career in finance in 1984. Teresa had worked at 7 firms and has passed the Series 63, Series 7, Series 6, Series 4, Series 53, Series 27, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2005 - January 17, 2012
INVESCO DISTRIBUTORS, INC.
July 19, 2000 - May 28, 2003
U.S. GLOBAL BROKERAGE, INC.
August 11, 1992 - December 31, 1999
AVANTAX INVESTMENT SERVICES, INC.
December 10, 1990 - June 27, 1992
NATCITY INSURANCE SERVICES, INC.
June 22, 1989 - November 19, 1990
FIRST INTERSTATE DISCOUNT BROKERAGE
July 5, 1988 - June 15, 1989
ROSS ANDERSON CAPITAL MANAGEMENT, INC.
February 21, 1985 - May 17, 1988
AVANTAX INVESTMENT SERVICES, INC.
February 23, 1984 - June 5, 1984
FORESTERS FINANCIAL SERVICES, 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
Series 8
Date: 8/26/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INVESCO DISTRIBUTORS, INC.
CRD#: 7369 / SEC#: , 8-21323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARRIS, JERRY CLINTON II | DIRECTOR | 3275064 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 3 |
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.
