Teresa L. Kane
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 Lynde Kane, who also goes by Teresa Lynde Benejamin, Teresa L Benjamin, Teresa Lynde Benjamin, Teri Benjamin, was a registered financial professional .
Teresa is a previously registered financial professional and started their career in finance in 1990. Teresa had worked at 3 firms and has passed the Series 66, Series 63, Series 31 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
August 5, 2002 - January 16, 2024
SHEAFF BROCK INVESTMENT ADVISORS, LLC
May 15, 1991 - December 18, 2001
MORGAN STANLEY DW INC.
December 18, 1990 - May 23, 1991
PRUDENTIAL EQUITY GROUP, LLC
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
SHEAFF BROCK INVESTMENT ADVISORS, LLC
CRD#: 118739 / SEC#: 801-60978
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,778 |
| AUM (Assets Under Management) | $ 1,410,206,314 |
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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