Terrance S. Dewald
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.
Terrance Shawn Dewald, who also goes by Tracy Dewald, was a registered financial professional .
Terrance is a previously registered financial professional and started their career in finance in 1999. Terrance had worked at 10 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2009 - May 21, 2012
BRECEK & YOUNG ADVISORS, INC.
February 19, 2009 - July 6, 2010
BRECEK & YOUNG ADVISORS, INC.
June 7, 2007 - June 11, 2012
SECURITIES AMERICA ADVISORS, INC.
May 29, 2007 - June 11, 2012
SECURITIES AMERICA, INC.
February 20, 2007 - June 7, 2007
TD AMERITRADE, INC.
August 29, 2006 - June 7, 2007
TD WATERHOUSE CAPITAL MARKETS, INC.
April 26, 2006 - February 14, 2007
NATIONAL INVESTOR SERVICES CORP.
April 19, 2006 - June 7, 2007
TD AMERITRADE, INC.
July 22, 2005 - June 7, 2007
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 14, 2004 - April 20, 2005
J.P. SECURITIES, INC.
March 16, 2004 - June 7, 2007
TD AMERITRADE CLEARING, INC.
May 7, 1999 - December 4, 2003
MUTUAL OF OMAHA INVESTOR 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
Current Firm
BRECEK & YOUNG ADVISORS, INC.
CRD#: 40395 / SEC#: 801-51940, 8-49022
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORPORATION | HOLDING COMPANY | |
| DEWALD, TERRANCE SHAWN | SENIOR VP, GENERAL COUNSEL, SECRETARY | 3173980 |
| HEENEY, JAMES MICHEAL | SENIOR VP, SALES SUPERVISION AND OPERATIONS | 3019122 |
| MCWHORTER, STEVEN FORD | CEO, DIRECTOR | 2130681 |
| MILLER, KEVIN JOSEPH | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | 4133001 |
| NAGENGAST, JAMES DELWYN | DIRECTOR | 2571451 |
| PARSONS, GAYLE ELIZABETH | VP, TREASURER, FINOP | 2824340 |
| RANNEY, CHRISTOPHER JOHN | PRESIDENT, DIRECTOR | 1708781 |
| WERTHEIM, PAMELA JANINE | DIRECTOR | 1311477 |
Disclosures
| Regulatory Event | 5 |
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.
