Robert D. Terry
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.
Robert Duane Terry was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 14 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2008 - December 31, 2013
FINANCIAL WEST GROUP
February 19, 2008 - December 31, 2013
FINANCIAL WEST GROUP
September 7, 2007 - March 6, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
September 7, 2007 - March 6, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
May 2, 2006 - September 10, 2007
AFA FINANCIAL GROUP, LLC
November 2, 2005 - May 2, 2006
THE SEIDLER COMPANIES INCORPORATED
November 20, 2003 - November 7, 2005
AMERIPRISE ADVISOR SERVICES, INC.
May 18, 2001 - December 12, 2003
QUICK & REILLY, INC.
November 16, 1998 - May 24, 2001
GRUNTAL & CO., L.L.C.
July 26, 1996 - November 19, 1998
PIPER SANDLER & CO.
November 16, 1993 - July 31, 1996
UBS FINANCIAL SERVICES INC.
July 31, 1993 - November 18, 1993
CITIGROUP GLOBAL MARKETS INC.
September 26, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
November 28, 1988 - January 21, 1989
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
June 20, 1988 - November 15, 1988
WELLS FARGO SECURITIES, LLC
January 21, 1987 - May 11, 1988
TRAFALGAR SECURITIES CORP.
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
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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