Theresa A. Price
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.
Theresa Ann Price, who also goes by Terri Kaiser, Theresa Ann Kaiser, Terri Price, Theresa Ann Price-champeau, was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 1987. Theresa had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2009 - May 21, 2021
SPC
April 1, 2009 - May 21, 2021
SIGMA FINANCIAL CORPORATION
October 30, 2008 - March 16, 2009
EQUITABLE ADVISORS, LLC
May 20, 1994 - December 31, 1994
NEW ENGLAND SECURITIES
April 29, 1987 - June 10, 1992
DERAND/PENNINGTON/BASS, INC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
