Teri L. Wertman
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.
Teri Lyn Wertman, who also goes by Teri Lyn Morris, Teri Morris, was a registered financial professional .
Teri is a previously registered financial professional and started their career in finance in 1997. Teri had worked at 7 firms and has passed the Series 66, Series 63, 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
Experience
September 30, 2013 - February 28, 2018
PLANMEMBER SECURITIES CORPORATION
September 30, 2013 - February 28, 2018
PLANMEMBER SECURITIES CORPORATION
July 5, 2011 - January 29, 2013
LPL FINANCIAL LLC
July 5, 2011 - January 29, 2013
LPL FINANCIAL LLC
April 29, 2009 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
April 24, 2009 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
May 15, 2001 - April 18, 2008
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - April 18, 2008
WELLS FARGO INVESTMENTS, LLC
June 26, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
February 4, 1998 - March 3, 2000
CAL FED INVESTMENTS
July 16, 1997 - February 4, 1998
WMA SECURITIES, INC.
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
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
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLANMEMBER FINANCIAL CORPORATION | OWNER | |
| BOWMAN, BYRON FRANCIS | CHIEF LEGAL OFFICER & SECRETARY | 2673117 |
| HALEY, SEAN PATRICK | CHIEF COMPLIANCE OFFICER | 2837579 |
| HANSON, STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS | 4854600 |
| JANEWAY, TERRALL JOSEPH | EVP/CHIEF OPERATING OFFICER | 2947154 |
| ZIEHL, JON MICHAEL | PRESIDENT | 707642 |
Regulatory assets under management
| Total Number of Accounts | 68,978 |
| AUM (Assets Under Management) | $ 9,035,509,268 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/21/2022 | ||
| 12/21/2022 |
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.
