Theresa K. Mehl
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 Kathleen Mehl, who also goes by Theresa Kathleen Carroll, Theresa Kathleen Carroll Mehl, Theresa Kathleen Carrollmehl, Theresa Kathleen Carroll Mehl, was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 1984. Theresa had worked at 5 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 1999 - December 6, 2024
HARTFIELD, TITUS & DONNELLY, LLC
June 11, 1991 - May 17, 2000
TITUS & DONNELLY LLC
February 25, 1987 - September 5, 1990
MIDLAND MONTAGU SECURITIES INC.
April 27, 1985 - October 1, 1986
UBS FINANCIAL SERVICES INC.
March 19, 1984 - April 18, 1984
HUNTINGTON INVESTMENTS, 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
HARTFIELD, TITUS & DONNELLY, LLC
CRD#: 7117 / SEC#: , 8-18974
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PURPORA CONSULTING,INC. | DIRECT OWNER | |
| CALDAS, JOSEPH JAMES | DIRECT OWNER | 501739 |
| CARRINGTON, MICHAEL SUGHRUE | DIRECT OWNER | 2716358 |
| EMANUEL, PAUL JOSEPH | DIRECT OWNER | 2330590 |
| INFUSINO, RICHARD ANGELO JR | DIRECT OWNER | 5668679 |
| MUSTACCHIO, LOUIS JOSEPH JR | DIRECT OWNER | 1656435 |
| O'MALLEY, DEREK JOHN | DIRECT OWNER | 4369620 |
| PAULEY, MATTHEW CHRISTOPHER | DIRECT OWNER | 2280671 |
| FERRERI, CHRISTOPHER CHARLES | DIRECT OWNER | 1677406 |
| GEORGE, MICHAEL THEODORE | FINOP & TREASURER | |
| HOFFMAN, EDWARD KELLY | DIRECT OWNER | 2295024 |
| JOHNSON, MARYBETH | DIRECT OWNER | 2123615 |
| MCCUE, JAMES GERARD | DIRECT OWNER | 2037468 |
| MULVIHILL, CAROLYN CROWE | DIRECT OWNER | 1968504 |
| NOTINE, TODD ROBERT | DIRECT OWNER | 1595766 |
| PALLARINO, JOHN GUY | DIRECT OWNER | 2282884 |
| SMITH, EDWARD JOHN | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY AND DIRECT OWNER | 4161601 |
| VANDERBEEK, TAYLOR JAMES | DIRECT OWNER | 6339397 |
| VINJE, NATALIE GRIFFIN | DIRECT OWNER | 3135251 |
Disclosures
| Regulatory Event | 1 |
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.
