Terrance R. Ober
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.
Terrance Ronald Ober, who also goes by Terrance R Ober, Terry Ober, was a registered financial professional .
Terrance is a previously registered financial professional and started their career in finance in 1989. Terrance had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6 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 21, 2015 - March 31, 2026
FORESIDE FUND SERVICES, LLC
May 30, 2012 - October 22, 2013
VOYA INVESTMENT MANAGEMENT CO. LLC
May 29, 2012 - October 22, 2013
VOYA INVESTMENTS DISTRIBUTOR, LLC
November 16, 1998 - April 11, 2012
COHEN & STEERS SECURITIES, LLC
October 16, 1996 - October 28, 1998
WNC CAPITAL CORPORATION
May 17, 1993 - September 17, 1996
BOSTON FINANCIAL SECURITIES, INC.
August 1, 1991 - May 4, 1993
WINTHROP SECURITIES CO., INC.
December 5, 1989 - August 13, 1991
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
December 5, 1989 - August 13, 1991
SIGNATOR INVESTORS, INC.
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
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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