Terrance J. Crocker
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 J Crocker, who also goes by Terrance Crocker, Terry Crocker, was a registered financial professional .
Terrance is a previously registered financial professional and started their career in finance in 1990. Terrance had worked at 14 firms and has passed the Series 66, Series 63, Series 7, Series 6 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
November 1, 2011 - October 21, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 2011 - October 21, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 19, 2011 - October 3, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 7, 2010 - October 3, 2011
TD AMERITRADE, INC.
September 28, 2010 - October 3, 2011
TD AMERITRADE, INC.
January 4, 2010 - September 13, 2010
BB&T INVESTMENT SERVICES, INC.
February 7, 2008 - January 11, 2010
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 1, 2000 - February 6, 2008
WELLS FARGO CLEARING SERVICES, LLC
June 28, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
January 9, 1998 - April 30, 1999
LEGACY FINANCIAL SERVICES, INC.
June 26, 1995 - April 9, 1996
CAPITAL BROKERAGE CORPORATION
January 17, 1995 - May 26, 1995
G. R. PHELPS & CO., INC.
March 30, 1992 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 30, 1992 - June 2, 1994
PRUCO SECURITIES, LLC.
November 23, 1990 - March 30, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 23, 1990 - March 30, 1992
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
