Terry L. Steffen
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 Lane Steffen was a registered financial professional .
Terry is a previously registered financial professional and started their career in finance in 1984. Terry had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
October 20, 2016 - March 30, 2020
SA ADVISORY LLC
September 3, 2010 - December 22, 2016
SA ADVISORY LLC
November 3, 2008 - December 31, 2010
TRIAD ADVISORS LLC
February 2, 2005 - November 10, 2008
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
April 8, 1993 - February 10, 2005
WALNUT STREET SECURITIES, INC.
July 5, 1984 - April 14, 1993
LOCUST STREET SECURITIES, 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
Current Firm
SA ADVISORY LLC
CRD#: 285327 / SEC#:
Contact information
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.
