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TG

Terrance K. Ganser

Some features on this profile are disabled
CRD#: 2219598
TG

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 Kevin Ganser, who also goes by Terry Kevin Ganser, was a registered financial professional .

Terrance is a previously registered financial professional and started their career in finance in 1992. Terrance had worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 8 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Terry Kevin Ganser

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 15, 2020 - July 1, 2021

YOUNG AMERICA CAPITAL, LLC

BD
CRD#: 150443
MAMARONECK, NY
Past

January 27, 2016 - September 24, 2018

FOUR POINTS CAPITAL PARTNERS LLC

BD
CRD#: 43149
NEW YORK, NY
Past

October 29, 2015 - January 26, 2016

AEON CAPITAL INC

BD
CRD#: 164004
NEW YORK, NY
Past

November 3, 2009 - March 10, 2014

STORMHARBOUR SECURITIES LP

BD
CRD#: 35997
NEW YORK, NY
Past

September 7, 2007 - July 20, 2009

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

July 1, 2003 - August 13, 2007

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC
Past

June 1, 2000 - July 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

March 22, 1999 - June 1, 2000

FORUM CAPITAL MARKETS LLC

BD
CRD#: 30867
OLD GREENWICH, CT
Past

March 28, 1997 - July 14, 1998

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

October 8, 1994 - April 24, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

May 21, 1992 - June 15, 1993

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/3/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/24/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/13/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 11/10/2009
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/19/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 4/3/1998
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 24
Date: 2/26/1998
General Securities Principal Examination

Current Firm

YA
YOUNG AMERICA CAPITAL, LLC
YOUNG AMERICA CAPITAL, LLC

CRD#: 150443 / SEC#: , 8-68260

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
141 East Boston Post Road, Mamaroneck, NY 10543
Mailing Address
141 East Boston Post Road, Mamaroneck, NY 10543
Phone number
(914) 777-0100
Established
Delaware since 05/08/2000
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORMANEK, PETER JAMESMANAGING MEMBER
FORMANEK, PETER JAMESFINANCIAL PRINCIPAL
FORMANEK, PETER JAMESCFO
FORMANEK, PETER JAMESCCO, AMLCO

Disclosures

Regulatory Event1

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.

Company Information

YOUNG AMERICA CAPITAL, LLC

CRD#: 150443

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