Terry J. Metzger
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 John Metzger, who also goes by Terry J Metzger, was a registered financial professional .
Terry is a previously registered financial professional and started their career in finance in 1984. Terry had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 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
June 25, 2007 - May 1, 2017
MOORS & CABOT, INC.
January 17, 2006 - June 25, 2007
MOORS & CABOT INC
January 13, 2006 - May 1, 2017
MOORS & CABOT, INC.
May 18, 2005 - January 30, 2006
JANNEY MONTGOMERY SCOTT LLC
October 30, 1998 - January 30, 2006
JANNEY MONTGOMERY SCOTT LLC
November 8, 1989 - October 29, 1998
RAYMOND JAMES & ASSOCIATES, INC.
October 30, 1989 - November 13, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 20, 1989 - November 7, 1989
KIDDER, PEABODY & CO. INCORPORATED
October 13, 1986 - June 29, 1989
MORGAN STANLEY DW INC.
May 23, 1984 - October 30, 1986
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
MOORS & CABOT, INC.
CRD#: 594 / SEC#: 801-48726, 8-23060
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: 8/8/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MOORS & CABOT, INC.
CRD#: 594 / SEC#: 801-48726, 8-23060
Contact information
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
