Terra E. Neal
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.
Terra Estelle Neal, who also goes by Terra E Adams, Terra E Britten, Terra E Neal, Terra E Thomas, was a registered financial professional .
Terra is a previously registered financial professional and started their career in finance in 1992. Terra had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2010 - January 7, 2016
FIDELITY BROKERAGE SERVICES LLC
June 22, 2007 - May 6, 2009
FIDELITY BROKERAGE SERVICES LLC
August 17, 2006 - April 4, 2007
UBS FINANCIAL SERVICES INC.
August 17, 2006 - April 4, 2007
UBS FINANCIAL SERVICES INC.
August 17, 2004 - August 18, 2006
STRATEGIC ADVISERS LLC
August 17, 2004 - August 18, 2006
FIDELITY BROKERAGE SERVICES LLC
September 1, 1999 - April 28, 2004
UBS FINANCIAL SERVICES INC.
September 1, 1999 - April 28, 2004
UBS FINANCIAL SERVICES INC.
January 26, 1999 - July 27, 1999
WELLS FARGO CLEARING SERVICES, LLC
September 18, 1997 - January 15, 1999
UBS FINANCIAL SERVICES INC.
July 1, 1994 - October 28, 1997
SIGNAL SECURITIES, INC.
October 26, 1992 - June 29, 1994
MOMENTUM INDEPENDENT NETWORK 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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
