TL
Teresa A. Lucas
TOUCHSTONE SECURITIES
CINCINNATI, OH 45202
Some features on this profile are disabled
CRD#: 3103059
TL
Professional summary
Teresa Ann Lucas, who also goes by Teresa Ann Gatterdam, Teresa Ann Siegel, is a registered financial professional currently at TOUCHSTONE SECURITIES, INC. located in Cincinnati, Ohio.
Teresa is registered as a RR (Registered Representative) and started their career in finance in 1998. Teresa has worked at 2 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Teresa Ann Gatterdam | Teresa Ann Siegel
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.
CRS (Client Relationship Summary) - BD
Click below to view Teresa Ann Lucas's 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®
NoneExperience
Current
January 26, 2010 - Present
TOUCHSTONE SECURITIES, INC.
Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202BD
CRD#: 1526
CINCINNATI, OH
Past
January 30, 2001 - December 9, 2009
IFS FUND DISTRIBUTORS, INC.
BD
CRD#: 24075
CINCINNATI, OH
Past
August 25, 1998 - December 31, 2000
TOUCHSTONE SECURITIES, INC.
BD
CRD#: 1526
CINCINNATI, OH
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Ohio(1/26/2010)
Exams
General Industry/Product Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TOUCHSTONE SECURITIES, INC.
CONTINENTAL MANAGEMENT, INC. | TOUCHSTONE SECURITIES, INC.
CRD#: 1526 / SEC#: , 8-14052
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
303 Broadway Suite 1100, Cincinnati, OH 45202
Mailing Address
303 Broadway Suite 1100, Cincinnati, OH 45202
Phone number
(513) 362-8000
Established
Nebraska since 02/27/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IFS FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AARTS, ERIK | VP, SENIOR FIXED INCOME STRATEGIST | 2556961 |
| ALGE, BENJAMIN J | PRESIDENT | 6225581 |
| BRAY, TIMOTHY ALLEN | DIVISIONAL VICE PRESIDENT | 1858477 |
| CONNELLY, LINDSAY MICHELLE | AVP & ASSISTANT TREASURER | 7212999 |
| COSTANZA, TIMOTHY JOHN | VP MANAGING DIRECTOR INSTITUTIONAL DEVELOPMENT | 4471461 |
| HERRON, SARAH SPARKS | SECRETARY | 6905684 |
| JOHNSON, JAY VINCENT | VP, CORPORATE FINANCE AND TREASURER | 6607547 |
| JONES, MICHAEL STEPHEN | ASSISTANT VICE PRESIDENT | 5537600 |
| KOERNER, RICHARD MICHAEL | VP, SENIOR ETF SALES SPECIALIST | 2249223 |
| MCGRUDER, JILL TRIPP | DIRECTOR | 1221720 |
| MOCK, MARY TAYLOR | SVP & HEAD OF DISTRIBUTION | 5276399 |
| MORSE, JULIE LYNN | SVP, MARKETING | 6743435 |
| MUSGROVE, JOHN S | AVP - ASSISTANT TREASURER | 6607165 |
| NIEMEYER, JONATHAN DAVID | DIRECTOR | 5863603 |
| SCOTT, SHAWN MICHAEL | CHIEF COMPLIANCE OFFICER | 4673623 |
| STEARNS, TIMOTHY STEVEN | VP, COMPLIANCE | 1327230 |
| WIEDENHEFT, TERRIE ANN | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 2619213 |
| WITTMAN, SCOTT | VICE PRESIDENT, TAX | 7679752 |
| WUEBBLING, DONALD JOSEPH | DIRECTOR | 473438 |
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
TOUCHSTONE SECURITIES, INC.
CRD#: 1526Cincinnati, OH 45202TRUST BUT VERIFY
Monitor Teresa Lucas
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
