Terry L. Agius
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 Lorraine Agius, who also goes by Terry Agius, Terry Lorraine Krause, Terry Krause, Terry Rivera, was a registered financial professional .
Terry is a previously registered financial professional and started their career in finance in 1986. Terry had worked at 7 firms and has passed the Series 66, Series 63, SIE, 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
September 12, 2023 - December 31, 2025
LPL FINANCIAL LLC
September 12, 2023 - March 16, 2026
LPL FINANCIAL LLC
May 18, 2022 - July 17, 2023
LPL FINANCIAL LLC
May 18, 2022 - July 17, 2023
LPL FINANCIAL LLC
January 23, 2008 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
January 23, 2008 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
October 18, 2005 - July 16, 2007
CU INVESTMENT SOLUTIONS LLC
May 13, 2004 - November 15, 2007
WESCORP INVESTMENT SERVICES, LLC
May 13, 2004 - October 18, 2005
WESCORP INVESTMENT SERVICES, LLC
April 10, 2002 - April 12, 2004
CUNA BROKERAGE SERVICES, INC.
February 14, 2002 - April 12, 2004
CUNA BROKERAGE SERVICES, INC.
March 8, 2001 - February 13, 2002
CUSO FINANCIAL SERVICES, L.P.
March 26, 1994 - February 13, 2001
CUNA BROKERAGE SERVICES, INC.
June 12, 1991 - February 25, 1994
CETERA WEALTH SERVICES, LLC
March 28, 1988 - June 17, 1991
CUNA BROKERAGE SERVICES, INC.
February 10, 1986 - March 9, 1988
MONEY CONCEPTS CAPITAL CORP
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
