Terry E. Stratton
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 Eugene Stratton was a registered financial professional .
Terry is a previously registered financial professional and started their career in finance in 1987. Terry had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2013 - October 10, 2014
HAZARD & SIEGEL, INC.
March 4, 2013 - October 10, 2014
HAZARD & SIEGEL ADVISORY SERVICES LLC
July 16, 2008 - March 14, 2013
TRUSTMONT FINANCIAL GROUP, INC.
October 19, 2007 - July 16, 2008
WRP INVESTMENTS, INC.
January 3, 2007 - July 16, 2008
WRP INVESTMENTS, INC.
January 22, 1996 - December 31, 2006
OLDE ECONOMIE FINANCIAL CONSULTANTS, LTD.
July 15, 1993 - December 31, 1994
AMERICAN EXPRESS SERVICE CORPORATION
March 18, 1987 - January 11, 1996
AMERIPRISE FINANCIAL SERVICES, 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
HAZARD & SIEGEL, INC.
CRD#: 2048 / SEC#: , 8-13942
Contact information
FINRA licenses (43 States and Territories)
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.
