Teri M. Mcfarlane
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.
Teri Michelle Mcfarlane, who also goes by Teri Michelle Clevenger, Teri Michelle Clevenger, Teri Michelle Zachary Mrs, Teri Michelle Zachary Mrs., was a registered financial professional .
Teri is a previously registered financial professional and started their career in finance in 1990. Teri had worked at 14 firms and has passed the Series 63, SIE, 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
September 8, 2014 - October 17, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 13, 2010 - August 24, 2012
MILKIE/FERGUSON INVESTMENTS, INC.
September 17, 2008 - July 17, 2009
PROVIDENT ASSET MANAGEMENT, LLC
February 26, 2004 - December 6, 2004
QUEST CAPITAL STRATEGIES, INC.
April 17, 2001 - March 5, 2002
CLARK SECURITIES, INC.
January 10, 2001 - May 25, 2001
LIBRA SECURITIES, LLC
February 16, 2000 - April 24, 2001
WESTERN INTERNATIONAL SECURITIES, INC.
August 19, 1998 - February 15, 2000
NATIONAL CLEARING CORP.
May 1, 1998 - August 21, 1998
WAMU INVESTMENTS, INC.
July 16, 1996 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
May 9, 1995 - July 24, 1995
AEGON USA SECURITIES INC.
August 16, 1994 - May 8, 1995
INVEST FINANCIAL CORPORATION
January 6, 1994 - August 25, 1994
MARKETING ONE SECURITIES, INC.
August 16, 1990 - January 5, 1994
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
