Terry L. Groom
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 Lynn Groom, CFP®, ChFC®, CLU®, who also goes by Terry L Groom, Terry Lynn Groom, Terry Groom, was a registered financial professional .
Terry is a previously registered financial professional and started their career in finance in 1995. Terry had worked at 15 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 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
Start date: 2014
Experience
June 23, 2025 - July 30, 2025
CETERA INVESTMENT SERVICES LLC
May 14, 2025 - July 30, 2025
CETERA INVESTMENT ADVISERS LLC
October 23, 2023 - November 22, 2023
SEQUENT PLANNING, LLC
June 23, 2022 - December 9, 2022
CETERA WEALTH SERVICES, LLC
June 23, 2022 - December 9, 2022
CETERA WEALTH SERVICES, LLC
January 9, 2019 - May 16, 2022
CUNA BROKERAGE SERVICES, INC.
January 9, 2019 - May 16, 2022
CUNA BROKERAGE SERVICES, INC.
August 30, 2017 - July 19, 2018
VALIC FINANCIAL ADVISORS, INC.
August 30, 2017 - July 19, 2018
VALIC FINANCIAL ADVISORS, INC.
September 24, 2015 - October 27, 2016
CUSO FINANCIAL SERVICES, L.P.
September 18, 2015 - October 27, 2016
CUSO FINANCIAL SERVICES, L.P.
August 8, 2014 - October 6, 2015
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
August 7, 2014 - October 6, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 7, 2014 - August 8, 2014
LPL FINANCIAL LLC
December 18, 2013 - August 8, 2014
LPL FINANCIAL LLC
November 9, 2006 - January 17, 2014
ALLSTATE FINANCIAL SERVICES, LLC
May 17, 2005 - November 27, 2006
LEGACY ADVISORY SERVICES, INC.
April 14, 2005 - November 27, 2006
LEGACY FINANCIAL SERVICES, INC.
June 15, 2004 - November 30, 2004
LPL FINANCIAL LLC
June 15, 2004 - November 30, 2004
LPL FINANCIAL LLC
March 18, 2004 - June 7, 2004
WS GRIFFITH SECURITIES, INC.
January 14, 2004 - June 7, 2004
WS GRIFFITH SECURITIES, INC.
August 16, 2002 - January 20, 2004
ALLSTATE FINANCIAL SERVICES, LLC
January 5, 1996 - February 21, 2001
CUNA BROKERAGE SERVICES, INC.
March 8, 1995 - January 24, 1996
UNITED HERITAGE FINANCIAL SERVICES, 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
Series 7TO
Date: 6/21/2025
General Securities Representative ExaminationCurrent Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
