Terence M. Carey
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.
Terence Michael Carey was a registered financial professional .
Terence is a previously registered financial professional and started their career in finance in 1970. Terence had worked at 16 firms and has passed the Series 1, Series 24, Series 53 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 1996 - July 6, 1998
HAMMOND & BOTZUM, INCORPORATED
October 20, 1993 - January 1, 1994
RAYMOND-MARTIN FINANCIAL INC.
April 30, 1991 - November 15, 1991
FINANCIAL WEST GROUP
April 25, 1991 - April 30, 1991
FINANCIAL WEST INVESTMENT GROUP
January 4, 1990 - January 30, 1990
BURNETT, GREY & CO., INC.
May 1, 1989 - December 31, 1989
CINCOTTA & CO.
July 12, 1988 - October 4, 1988
FIELDS, CAREY & CO., INC.
October 27, 1987 - December 10, 1988
GREAT LAKES EQUITIES CO.
December 10, 1985 - May 19, 1987
HAMMOND & BOTZUM, INCORPORATED
February 20, 1985 - September 20, 1985
CINCOTTA & CO.
October 5, 1983 - March 2, 1984
J. DAVID MUNICIPALS AND GOVERMENTS, INC.
July 13, 1983 - October 10, 1983
J. DAVID SECURITIES, INC.
January 21, 1981 - July 28, 1982
CALIFORNIA MUNICIPAL INVESTORS, INC.
August 10, 1979 - November 24, 1980
DREXEL BURNHAM LAMBERT INCORPORATED
April 4, 1977 - August 17, 1979
RAUSCHER PIERCE REFSNES, INC.
September 13, 1974 - April 3, 1977
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
May 9, 1973 - June 17, 1975
STEPHENS MOORE AND CO
March 18, 1970 - July 11, 1973
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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: 6/19/1956
Registered Representative ExaminationSeries 00
Date: 2/9/1970
General Securities Principal ExaminationCurrent Firm
HAMMOND & BOTZUM, INCORPORATED
CRD#: 16801 / SEC#: , 8-34474
Contact information
Documents
Red Flags
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