Teri L. Weigel
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 Weigel, who also goes by Teri Lyn Kelley, Teri Lyn Muir, was a registered financial professional .
Teri is a previously registered financial professional and started their career in finance in 1971. Teri had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 1, Series 24 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2007 - March 15, 2012
KMS FINANCIAL SERVICES, INC.
November 20, 2007 - March 15, 2012
KMS FINANCIAL SERVICES, INC.
June 14, 2000 - November 20, 2007
PACIFIC WEST SECURITIES, INC.
August 20, 1998 - December 31, 2014
PURCELL ADVISORY SERVICES, LLC
June 18, 1998 - July 19, 2000
PACIFIC HARBOR SECURITIES, INC.
October 8, 1991 - April 22, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 24, 1979 - September 3, 1991
REEDER, OWEN
January 16, 1973 - September 22, 1974
C. RANDALL & CO.
November 12, 1971 - June 22, 1972
KMS FINANCIAL 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
Series 1
Date: 11/9/1971
Registered Representative ExaminationF04
Date: 12/11/1979
Financial Principal ExaminationCurrent Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
