Terry D. Mixon
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.
Terry Dwight Mixon was a registered financial professional .
Terry is a previously registered financial professional and started their career in finance in 1991. Terry had worked at 9 firms and has passed the Series 63 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 24, 2001 - October 19, 2001
FORESTERS EQUITY SERVICES, INC.
August 25, 1997 - July 17, 2001
ALLEN DOUGLAS SECURITIES, INC.
August 9, 1996 - November 7, 1997
FAS WEALTH MANAGEMENT SERVICES, INC.
July 26, 1996 - August 16, 1996
QUEST CAPITAL STRATEGIES, INC.
March 25, 1994 - September 16, 1994
MORGAN STANLEY DW INC.
June 24, 1992 - March 15, 1994
DISCOVERY CAPITAL GROUP
March 11, 1992 - June 30, 1992
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 19, 1991 - July 15, 1991
BILTMORE SECURITIES, INC.
April 18, 1991 - May 15, 1991
J. W. GANT & ASSOCIATES, 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
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
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.
