Terence F. Geoghan
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.
Terence Francis Geoghan was a registered financial professional .
Terence is a previously registered financial professional and started their career in finance in 1997. Terence had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2010 - January 27, 2012
FAGENSON & CO., INC.
January 29, 2010 - October 5, 2010
PULSE TRADING, INC.
February 1, 2007 - July 21, 2009
AVIAN SECURITIES, LLC
September 26, 2005 - April 20, 2006
AVIAN SECURITIES, LLC
February 15, 2005 - September 19, 2005
MAXIM GROUP LLC
November 20, 2003 - September 3, 2004
INDEPENDENT RESEARCH GROUP LLC
May 15, 2001 - November 20, 2003
RYAN BECK & CO.
December 2, 1998 - December 12, 2000
JOSEPHTHAL & CO., INC.
September 17, 1997 - May 6, 1998
LADENBURG THALMANN & CO. INC.
April 22, 1997 - June 27, 1997
GLEACHER & COMPANY SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FAGENSON & CO., INC.
CRD#: 1781 / SEC#: , 8-9952
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| 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.
