Theresa M. Mohan
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 Marie Mohan, who also goes by Theresa Marie Chartier, was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 2001. Theresa had worked at 3 firms and has passed the Series 66 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
June 5, 2006 - December 31, 2016
MERIDIAN CAPITAL ADVISORS, LLC
June 15, 2004 - October 24, 2005
CITIGROUP GLOBAL MARKETS INC.
June 15, 2004 - October 24, 2005
CITIGROUP GLOBAL MARKETS INC.
June 19, 2003 - June 8, 2004
MORGAN STANLEY DW INC.
October 16, 2001 - June 8, 2004
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
MERIDIAN CAPITAL ADVISORS, LLC
CRD#: 138310 / SEC#:
Contact information
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.
