Terry Backhaus
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.
Terry Backhaus was a registered financial professional .
Terry is a previously registered financial professional and started their career in finance in 2000. Terry had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2006 - June 1, 2015
QUESTAR CAPITAL CORPORATION
July 19, 2006 - June 1, 2015
QUESTAR ASSET MANAGEMENT, INC.
January 6, 2005 - June 16, 2006
USALLIANZ SECURITIES, INC.
December 9, 2004 - December 1, 2006
USALLIANZ SECURITIES, INC.
July 7, 2003 - December 14, 2004
OSAIC FA, INC.
January 28, 2002 - December 14, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 28, 2002 - December 14, 2004
OSAIC FA, INC.
April 19, 2000 - January 17, 2002
EQUITABLE ADVISORS, LLC
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
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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