Theresa H. Dowling
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 Helen Dowling, who also goes by Theresa H Dowling, Theresa Dowling Phillips, was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 1986. Theresa had worked at 9 firms and has passed the Series 63, Series 7 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
August 12, 2013 - July 10, 2014
FAMILY MANAGEMENT SECURITIES, LLC
February 29, 2008 - August 22, 2011
CHERTOFF CAPITAL, LLC
October 30, 2002 - October 15, 2009
BIO-IB, INC.
October 26, 1998 - June 1, 2000
CABOTO USA, INC.
December 2, 1997 - December 23, 1997
NATIXIS SECURITIES AMERICAS LLC
February 6, 1989 - January 22, 1992
S.G. WARBURG & CO. INC.
April 21, 1988 - December 20, 1988
BURNS FRY INC
September 23, 1987 - April 21, 1988
HOARE GOVETT INCORPORATED
October 22, 1986 - September 11, 1987
MORGAN STANLEY & CO. LLC
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
FAMILY MANAGEMENT SECURITIES, LLC
CRD#: 44319 / SEC#: , 8-50618
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ZISES, SEYMOUR WILLIAM | PRESIDENT, MEMBER, CEO | 816096 |
| ZISES CHILDREN'S TRUST | FAMILY TRUST | |
| AT MANAGEMENT SERVICES INC. | MEMBER | |
| FORTINO, ANGELINA | PRINCIPAL FINANCIAL & OPERATIONS OFFICER - CFO | 6869135 |
| FRANK, PHILIP THOMAS | GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 4195958 |
| GREENBERG, MONTE I. | TRUSTEE | 7831859 |
| TESSLER, ANDREA LESLIE | MANAGING DIRECTOR, MEMBER | 1407430 |
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.
