Terry V. Elgethun

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CRD#: 1286462

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 Vaughn Elgethun was a registered financial professional .

Terry is a previously registered financial professional and started their career in finance in 1984. Terry had worked at 7 firms and has passed the Series 65, Series 63, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 29, 2011 - March 27, 2013

ELGETHUN CAPITAL MANAGEMENT

RIA

CRD#: 127616

SIOUX FALLS, SD

Past

July 30, 2003 - December 31, 2010

ELGETHUN CAPITAL MANAGEMENT

RIA

CRD#: 127616

SIOUX FALLS, SD

Past

May 2, 2001 - June 20, 2003

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

July 12, 1999 - May 2, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

August 8, 1995 - July 12, 1999

ARK FUNDS DISTRIBUTORS, LLC

CRD#: 17685

PORTLAND, ME

Past

March 28, 1991 - December 31, 1991

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

May 20, 1988 - March 22, 1989

MESIROW INVESTMENT SERVICES, INC.

CRD#: 15113

Past

August 22, 1984 - June 14, 1988

MORGAN STANLEY DW INC.

CRD#: 7556

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ELGETHUN CAPITAL MANAGEMENT

CRD#: 127616 / SEC#: 801-66560

RIA

Registered Investment Advisory firm - (5/19/2006 Approved)

South Dakota

Registered Investment Advisory firm - (12/6/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/22/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/1/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 8/7/1995

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 8/18/1984

General Securities Representative Examination

Current Firm

ELGETHUN CAPITAL MANAGEMENT

CRD#: 127616 / SEC#: 801-66560

RIA

Registered Investment Advisory firm - (5/19/2006 Approved)

South Dakota

Registered Investment Advisory firm - (12/6/2006 Terminated)

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Contact information

Main Address

231 S. Phillips Ave. Suite 201, Sioux Falls, SD 57104

Mailing Address

Phone number

(605) 367-3336

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	878
AUM (Assets Under Management)	$ 884,530,390

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/15/2025	Cover Page	Report
10/07/2024	Cover Page	Report
01/24/2024	Cover Page	Report
09/26/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Terry V. Elgethun

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ELGETHUN CAPITAL MANAGEMENT

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO SECURITIES INC.

ARK FUNDS DISTRIBUTORS, LLC

SECURITIES AMERICA, INC.

MESIROW INVESTMENT SERVICES, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

ELGETHUN CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 7/22/2003

Series 63

Date: 9/1/1995

Series 6

Date: 8/7/1995

Series 7

Date: 8/18/1984

Current Firm

ELGETHUN CAPITAL MANAGEMENT

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ELGETHUN CAPITAL MANAGEMENT

TRUST BUT VERIFY

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