Theresa L. Bachmann
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.
Theresa Lee Bachmann was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 2000. Theresa had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2010 - December 31, 2015
QUEST CAPITAL STRATEGIES, INC.
September 21, 2010 - December 31, 2015
QUEST CAPITAL STRATEGIES, INC.
April 24, 2007 - October 2, 2008
OPPENHEIMER & CO. INC.
September 27, 2006 - October 2, 2008
OPPENHEIMER & CO. INC.
November 15, 2004 - May 26, 2005
MORGAN STANLEY DW INC.
October 2, 2000 - September 29, 2003
TD AMERITRADE, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
