Theresa H. Brogan
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.
Theresa Healey Brogan, who also goes by Terri Healey, Theresa Ann Healey, was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 1993. Theresa had worked at 5 firms and has passed the 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
March 10, 2011 - December 31, 2011
WRP INVESTMENTS, INC.
August 26, 2003 - April 7, 2009
INVESTORS CAPITAL CORP.
October 21, 2002 - December 20, 2002
EMPOWER FINANCIAL SERVICES, INC.
October 16, 2000 - October 21, 2002
ONE ORCHARD EQUITIES, INC.
December 2, 1993 - October 6, 2000
NEW ENGLAND SECURITIES
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
WRP INVESTMENTS, INC.
CRD#: 7365 / SEC#: 801-39365, 8-21374
Contact information
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Bond | 1 |
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.
