Teresa M. Brokaw
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.
Teresa Michele Brokaw, CFP®, who also goes by Teresa Michele Butts, Teresa Michele Wiensz, Teresa Michele Zavala, was a registered financial professional .
Teresa is a previously registered financial professional and started their career in finance in 2001. Teresa had worked at 3 firms and has passed the Series 66, 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
Start date: 1999
Experience
March 5, 2020 - November 28, 2023
WAYFINDING FINANCIAL, LLC
April 12, 2013 - March 18, 2020
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 12, 2013 - March 18, 2020
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 6, 2001 - April 15, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 28, 2001 - April 15, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
WAYFINDING FINANCIAL, LLC
CRD#: 306208 / SEC#: 801-118057
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
WAYFINDING FINANCIAL, LLC
CRD#: 306208 / SEC#: 801-118057
Contact information
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 925 |
| AUM (Assets Under Management) | $ 353,477,294 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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