Theresa Deady

VANDERBILT SECURITIES

Woodbury, NY 11797

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CRD#: 2548144

Professional summary

Theresa Deady, who also goes by Theresa Verno, Theresa Waters, is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Woodbury, New York.

Theresa is registered as a RR (Registered Representative) and started their career in finance in 1994. Theresa has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Theresa Verno | Theresa Waters

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Theresa Deady's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 11, 2021 - Present

VANDERBILT SECURITIES, LLC

Office #1: 125 Froehlich Farm Blvd., Woodbury, NY 11797

CRD#: 5953

Woodbury, NY

Past

March 12, 2018 - October 1, 2021

CETERA WEALTH SERVICES, LLC

CRD#: 13572

WOODBURY, NY

Past

January 2, 2015 - August 7, 2017

CAPITAL ONE INVESTING, LLC

CRD#: 45744

MELVILLE, NY

Past

January 3, 2005 - January 2, 2015

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

MELVILLE, NY

Past

December 9, 2003 - January 3, 2005

GREENPOINT SECURITIES LLC

CRD#: 127042

LAKE SUCCESS, NY

Past

April 19, 1999 - January 5, 2004

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

March 26, 1996 - May 3, 1999

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

October 31, 1994 - December 31, 1994

MARKETING ONE SECURITIES, INC.

CRD#: 16611

PORTLAND, OR

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(10/11/2021)

Exams

State Security Law Exam

Series 63

Date: 12/5/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/28/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/1/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

RICHARDT-ALYN & CO. | VANDERBILT SECURITIES, LLC | VANDERBILT SECURITIES

CRD#: 5953 / SEC#: , 8-16712

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Mailing Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Phone number

(631) 845-5100

Established

New York since 12/05/2001

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
VANDERBILT CAPITAL, LLC	SOLE OWNER
ANTENOR, JR, DANIEL	CHIEF OPERATIONS OFFICER/OPTIONS/MUNI	5839052
DISTANTE, STEPHEN ALFRED	CEO - LIMITED PARTNER	2206574
PLAPP, MEGAN LYNN	FINOP, POO, PFO, CFO	6790596
THOMAS, MICHELLE DENISE	CHIEF COMPLIANCE OFFICER	2210435
TRIFILETTI, JOSEPH JOHN	PRESIDENT	5295897

Disclosures

Regulatory Event	5
Arbitration	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.

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Advisor Monitoring

Firm Stability Insights

Theresa Deady

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Theresa Deady's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CAPITAL ONE INVESTING, LLC

CAPITAL ONE INVESTMENT SERVICES LLC

GREENPOINT SECURITIES LLC

ESSEX NATIONAL SECURITIES, LLC

INVEST FINANCIAL CORPORATION

MARKETING ONE SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/5/1997

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/28/1994

Series 24

Date: 4/1/1999

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VANDERBILT SECURITIES, LLC

TRUST BUT VERIFY

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