TH
Theresa A. Hamrick
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CRD#: 4252560
TH
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 Arlene Hamrick, who also goes by Theresa Arlene Cooper, Theresa Arlene Hall, was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 2002. Theresa had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Theresa Arlene Cooper | Theresa Arlene Hall
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
September 3, 2013 - June 15, 2015
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
SHELBY, NC
Past
July 5, 2011 - September 10, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
SHELBY, NC
Past
June 12, 2008 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
SHELBY, NC
Past
March 21, 2002 - May 14, 2008
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
SHELBY, NC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
IP
INVESTMENT PROFESSIONALS, INC.
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CRD#: 30184 / SEC#: 801-67704, 8-44786
BD
Terminated by SEC on 12/01/2018
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Contact information
Main Address
16414 San Pedro Avenue Suite 300, San Antonio, TX 78232
Mailing Address
Phone number
Established
Texas since 03/16/1992
Firm type
Corporation
Fiscal year end
December
# of Employees
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
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.
