Teresa L. Grogan
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 Livia Grogan, who also goes by Teresa Livia G, Terri Grogan, Teresa L Smith, Teresa Livia Smith, was a registered financial professional .
Teresa is a previously registered financial professional and started their career in finance in 1989. Teresa had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 53 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
February 20, 2015 - February 23, 2016
ORGEL WEALTH MANAGEMENT, LLC
January 6, 2011 - October 24, 2013
RBC CAPITAL MARKETS, LLC
January 6, 2011 - October 24, 2013
RBC CAPITAL MARKETS, LLC
November 12, 2009 - December 14, 2010
EQUITABLE ADVISORS, LLC
October 25, 2007 - December 14, 2010
EQUITABLE ADVISORS, LLC
August 17, 2004 - October 2, 2007
ROBERT W. BAIRD & CO. INCORPORATED
May 10, 2000 - July 28, 2004
CLEARY GULL INC.
April 11, 1991 - July 16, 1992
DAIN RAUSCHER INCORPORATED
June 20, 1989 - April 9, 1991
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
ORGEL WEALTH MANAGEMENT, LLC
CRD#: 168219 / SEC#: 801-78284
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
ORGEL WEALTH MANAGEMENT, LLC
CRD#: 168219 / SEC#: 801-78284
Contact information
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,031 |
| AUM (Assets Under Management) | $ 7,104,580,359 |
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.
