Theresa M. Chen
Professional summary
Theresa Marie Chen, who also goes by Theresa Gallo-chen, is a registered financial professional currently at CAMBRIDGE INVESTMENT RESEARCH, INC. located in Plantation, Florida.
Theresa is registered as a RR (Registered Representative) and started their career in finance in 1992. Theresa has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Theresa Marie Chen's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 19, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 26, 2004 - December 31, 2018
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
May 21, 2004 - September 29, 2004
MUTUAL SERVICE CORPORATION
June 24, 1999 - December 31, 2002
LOCUST STREET SECURITIES, INC.
July 28, 1998 - June 22, 1999
MARKETING ONE SECURITIES, INC.
September 27, 1996 - September 17, 1998
PREFERRED SECURITIES GROUP, INC.
July 3, 1995 - November 8, 1995
FIRST UNION BROKERAGE SERVICES, INC.
February 21, 1995 - July 5, 1995
ESSEX NATIONAL SECURITIES, LLC
August 3, 1993 - June 1, 1995
INDEPENDENT FINANCIAL SECURITIES, INC.
October 30, 1992 - June 30, 1993
MARKETING ONE SECURITIES, 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
(2/19/2019)
(2/19/2019)
(1/5/2021)
Exams
FINRA
Current Firm
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
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