Theresa M. Probert
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 Margaret Probert, who also goes by Theresa Margaret Franklin, Theresa Margaret Salmon, was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 1989. Theresa had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2017 - April 13, 2022
OSAIC INSTITUTIONS, INC.
January 18, 2017 - April 13, 2022
OSAIC INSTITUTIONS, INC.
June 2, 2011 - January 26, 2017
FIRST BROKERAGE AMERICA, L.L.C.
March 21, 1998 - January 26, 2017
FIRST BROKERAGE AMERICA, L.L.C.
February 13, 1997 - February 9, 1998
GRIFFIN FINANCIAL SERVICES
October 25, 1993 - December 21, 1995
WELLS FARGO SECURITIES INC.
October 16, 1991 - October 25, 1993
MARKETING ONE SECURITIES, INC.
August 1, 1991 - August 22, 1991
IFMG SECURITIES, INC.
April 8, 1991 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
April 2, 1991 - August 6, 1991
GAF FINANCIAL AND INSURANCE SERVICES
May 1, 1989 - May 21, 1990
PAMCO SECURITIES AND INSURANCE SERVICES
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 9 |
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.
