Terry L. Albin
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 Lee Albin was a registered financial professional .
Terry is a previously registered financial professional and started their career in finance in 1974. Terry had worked at 9 firms and has passed the Series 65, Series 63, SIE, PC, Series 7, Series 1, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2009 - September 13, 2011
SECURITIES AMERICA, INC.
May 1, 2009 - March 11, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
May 1, 2009 - March 14, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
July 31, 1993 - May 19, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - May 19, 2009
CITIGROUP GLOBAL MARKETS INC.
May 14, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
January 14, 1986 - May 14, 1988
E. F. HUTTON & COMPANY INC
November 21, 1979 - January 10, 1986
VANCASPEL & CO., INCORPORATED
May 2, 1979 - December 9, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 20, 1976 - July 19, 1979
DYNAVEST SECURITIES, INC.
February 27, 1974 - August 29, 1976
ALLSTATE ENTERPRISES MANAGEMENT COMPANY
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
PC
Date: 4/21/1979
AMEX Put and Call ExamSeries 1
Date: 2/23/1974
Registered Representative ExaminationF04
Date: 11/22/1978
Financial Principal ExaminationSeries 40
Date: 6/24/1977
Registered Principal ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
