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Teresa L. Thompson

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CRD#: 1495973
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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.

Teresa L Thompson, who also goes by Teresa Lynn Bailes, Teresa Lynn Thompson, Teresa Lynn Vannatter, was a registered financial professional .

Teresa is a previously registered financial professional and started their career in finance in 1986. Teresa had worked at 8 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Teresa Lynn Bailes | Teresa Lynn Thompson | Teresa Lynn Vannatter

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 23, 2011 - December 31, 2011

MIDAMERICA FINANCIAL SERVICES, INC.

BD
CRD#: 47351
GEORGETOWN, TX
Past

February 25, 2010 - January 26, 2011

ALLEGIANT SECURITIES L.L.C.

BD
CRD#: 133912
MIAMI, FL
Past

January 11, 2008 - March 5, 2008

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
AUSTIN, TX
Past

September 15, 2006 - November 2, 2007

NYLIFE SECURITIES LLC

BD
CRD#: 5167
AUSTIN, TX
Past

July 30, 2001 - May 31, 2006

GUARANTY BROKERAGE SERVICES, INC.

BD
CRD#: 23302
TAYLOR, TX
Past

October 30, 2000 - July 30, 2001

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
RICHMOND, VA
Past

September 2, 1999 - September 21, 2000

MARQUETTE FINANCIAL GROUP, INC.

BD
CRD#: 345
MINNEAPOLIS, MN
Past

January 24, 1997 - August 26, 1999

WELLS FARGO BROKERAGE SERVICES, L.L.C.

BD
CRD#: 16100
MINNEAPOLIS, MN
Past

July 26, 1996 - January 16, 1997

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
RICHMOND, VA
Past

October 7, 1986 - March 13, 1991

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
RICHMOND, VA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/25/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/5/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/25/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/13/2001
General Securities Principal Examination

Current Firm

MF
MIDAMERICA FINANCIAL SERVICES, INC.
MIDAMERICA FINANCIAL SERVICES, INC. | STEELE INVESTMENT SERVICES, INC.

CRD#: 47351 / SEC#: , 8-51758

BD
Terminated by SEC on 01/05/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Iowa since 04/05/1999
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
S & M, LTD.SHAREHOLDER
DEEMER, BRUCE HARLANSECRETARY4590562
KELLER, MATTHEW BRIANPRESIDENT, CHIEF COMPLIANCE OFFICER5582015

Disclosures

Regulatory Event5

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.

Company Information

MIDAMERICA FINANCIAL SERVICES, INC.

CRD#: 47351

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