Terri B. Smith
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.
Terri Berg Smith, who also goes by Terri L Berg, Terri Lynn Berg, Terri Berg, Terri Smith, was a registered financial professional .
Terri is a previously registered financial professional and started their career in finance in 1988. Terri had worked at 3 firms and has passed the 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
March 15, 2004 - September 27, 2018
PROFUNDS DISTRIBUTORS, INC.
November 6, 1992 - December 31, 2003
INVESCO DISTRIBUTORS, INC.
June 21, 1988 - September 30, 1992
IFMG SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PROFUNDS DISTRIBUTORS, INC.
CRD#: 19541 / SEC#: , 8-37601
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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