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Terrell C. Lady

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CRD#: 300391
TL

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.

Terrell Calvin Lady was a registered financial professional .

Terrell is a previously registered financial professional and started their career in finance in 1968. Terrell had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31, Series 1 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
1. Terrell C Lady; Non-Investment Related; 1311 Jamestown Rd Suite 101 Williamsburg VA 23158; Insurance; Agent; 05/2007; 1% during business hours; Does not sell new life or disability policies, continues to get commission and gives advice to policyholders

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 1, 2016 - April 1, 2022

DFPG INVESTMENTS, LLC

RIA
CRD#: 155576
Williamsburg, VA
Past

August 1, 2016 - April 1, 2022

DFPG INVESTMENTS, LLC

BD
CRD#: 155576
Williamsburg, VA
Past

August 16, 2004 - July 29, 2016

VSR FINANCIAL SERVICES, INC.

RIA
CRD#: 14503
WILLIAMSBURG, VA
Past

August 16, 2004 - July 29, 2016

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
WILLIAMSBURG, VA
Past

January 1, 2001 - August 16, 2004

GROVE POINT INVESTMENTS, LLC

RIA
CRD#: 1763
WILLIAMSBURG, VA
Past

October 1, 1999 - August 16, 2004

GROVE POINT INVESTMENTS, LLC

BD
CRD#: 1763
ROCKVILLE, MD
Past

June 18, 1989 - September 30, 1999

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

July 26, 1984 - June 18, 1989

SOUTHMARK FINANCIAL SERVICES, INC.

BD
CRD#: 6518
Past

November 16, 1983 - October 26, 1984

AETNA LIFE INSURANCE AND ANNUITY COMPANY

BD
CRD#: 13256
Past

October 4, 1982 - August 13, 1984

TACOMA SECURITIES, INC.

BD
CRD#: 7127
Past

August 27, 1968 - July 3, 1986

BERKSHIRE EQUITY SALES, INC.

BD
CRD#: 87

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/8/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/13/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 11/12/2002
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 1
Date: 8/23/1968
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/19/1987
General Securities Principal Examination

Current Firm

DI
DFPG INVESTMENTS, LLC
1031 CAPITAL SOLUTIONS | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SUMMIT GROUP WEALTH ADVISORS | SERRATELLI FINANCIAL GROUP | SENTINELROCK WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PARKVIEW WEALTH ADVISORS | OXFORD FINANCIAL GROUP | NUCLEUS FINANCIAL GROUP | MARCH | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | HULSEY FINANCIAL | GROVE WEALTH ADVISORS | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES | DIVERSIFY ADVISOR NETWORK | DFPG INVESTMENTS, LLC | DFPG INVESTMENTS, INC. | DFPG INSURANCE, INC. | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BRENT REED FINANCIAL SERVICES | ASHLAND PACIFIC

CRD#: 155576 / SEC#: 801-107896, 8-68730

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
9017 S Riverside Drive Suite 210, Sandy, UT 84070
Mailing Address
9017 S Riverside Drive Suite 210, Sandy, UT 84070
Phone number
(801) 838-9999
Established
Utah since 10/12/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
20

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

DFPG FORM ADV PART 2A (3/29/2024)
DIVERSIFY ADVISORY SERVICES FORM ADV PART 2A (3/29/2024)
DFPG FORM ADV PART 2A_03.28.2023 (3/29/2024)

Direct owners and executive officers

NamePositionCRD#
FALCON PARK CAPITAL, LLCLIMITED LIABILITY COMPANY
ANDERSON, JOHN BRADLEYCHIEF COMPLIANCE OFFICER6037308
BADALAMENTI, CHARLES RICHARDFINOP2065038
BENDIX, MICHAEL ALLANCEO5379777
LAGA, DAVID RYANCFO & COO4919873
SMITH, RYAN OMERPRESIDENT4340304

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.

Company Information

DFPG INVESTMENTS, LLC

CRD#: 155576

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