Terrance E. Kaye
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.
Terrance Edmund Kaye, who also goes by Terry Kaye, was a registered financial professional .
Terrance is a previously registered financial professional and started their career in finance in 1984. Terrance had worked at 8 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2006 - May 10, 2017
SIGMA FINANCIAL CORPORATION
June 10, 1997 - December 31, 2005
EQUITAS AMERICA, LLC
August 10, 1993 - June 10, 1997
MARINER FINANCIAL SERVICES, INC.
December 23, 1992 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
August 17, 1992 - December 23, 1992
USA FINANCIAL GROUP, INC.
May 29, 1992 - August 17, 1992
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 27, 1992 - May 12, 1992
USA FINANCIAL GROUP, INC.
December 4, 1990 - December 31, 1991
USA FINANCIAL GROUP, INC.
April 25, 1986 - June 11, 1986
CRANE & CO. SECURITIES INCORPORATED
April 9, 1986 - January 25, 1990
MARINER FINANCIAL SERVICES, INC.
October 19, 1984 - June 18, 1986
HIMCO DISTRIBUTION SERVICES COMPANY
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
SIGMA FINANCIAL CORPORATION
CRD#: 14303 / SEC#: , 8-30466
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING SHARES) | |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT | 2933397 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | 408389 |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 11 |
Red Flags
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