Terrance J. Wasley
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 John Wasley was a registered financial professional .
Terrance is a previously registered financial professional and started their career in finance in 1985. Terrance had worked at 8 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2014 - December 31, 2016
THE LEADERS GROUP, INC.
February 5, 2010 - October 20, 2014
COLORADO FINANCIAL SERVICE CORPORATION
November 19, 1999 - March 10, 2010
RMIN SECURITIES, INC.
January 29, 1999 - June 20, 2003
CETERA ADVISORS LLC
April 15, 1998 - February 2, 1999
OSAIC FS, INC.
January 5, 1998 - May 1, 1998
HIMCO DISTRIBUTION SERVICES COMPANY
November 29, 1996 - January 5, 1998
EMPOWER FINANCIAL SERVICES, INC.
November 6, 1985 - November 29, 1996
THE GREAT-WEST LIFE ASSURANCE 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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
