Terry E. Ringstaff
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 Edwin Ringstaff was a registered financial professional .
Terry is a previously registered financial professional and started their career in finance in 1993. Terry had worked at 8 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2004 - July 28, 2004
MONY SECURITIES CORPORATION
February 18, 2000 - October 1, 2003
USALLIANZ SECURITIES, INC.
September 11, 1998 - December 31, 1999
LOCUST STREET SECURITIES, INC.
June 16, 1997 - September 18, 1998
DOMINION CAPITAL CORPORATION
January 30, 1996 - June 25, 1997
INVESTORS CAPITAL CORP.
March 1, 1995 - December 31, 1995
OSAIC FS, INC.
November 24, 1993 - March 1, 1995
FFP SECURITIES, INC.
October 6, 1993 - November 29, 1993
T.H.E. FINANCIAL GROUP, LTD
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
MONY SECURITIES CORPORATION
CRD#: 4386 / SEC#: , 8-15287
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONY FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| BLITZ, HARVEY EUGENE | DIRECTOR | |
| COOLEY, JILL DIANE | CHIEF OPERATING OFFICER; DIRECTOR | 4251752 |
| DANE, EDWARD HAMBLETON | PRESIDENT; DIRECTOR | 2261769 |
| DZIADZIO, RICHARD | DIRECTOR | 4362519 |
| GODOFSKY, MARK DAVID | FINANCIAL PRINCIPAL | 2882741 |
| JONES, ROBERT SEYMOUR JR | DIRECTOR | 261712 |
| ODONNELL, LESLIE TANNER | AML COMPLIANCE OFFICER | 2189109 |
| OLSON, ANTHONY PAUL | CHIEF COMPLIANCE OFFICER | 801048 |
| WRIGHT, ROBERT OAKLEY JR | CHAIRMAN OF THE BOARD; DIRECTOR | 1620043 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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