Horacio C. Teran
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.
Horacio Carlos Teran was a registered financial advisor .
Horacio is a previously registered financial advisor and started their career in finance in 2002. Horacio had worked at 5 firms and has passed the Series 66, 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
January 12, 2011 - February 6, 2013
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
December 10, 2010 - February 6, 2013
FIRST REPUBLIC SECURITIES COMPANY, LLC
October 23, 2009 - November 18, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - November 18, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 12, 2009 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 27, 2009 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 11, 2003 - May 18, 2005
WELLS FARGO INVESTMENTS, LLC
October 6, 2002 - May 18, 2005
WELLS FARGO INVESTMENTS, 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
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
CRD#: 108559 / SEC#: 801-56293
Contact information
Regulatory assets under management
| Total Number of Accounts | 56,585 |
| AUM (Assets Under Management) | $ 86,270,585,130 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 02/28/2024 |
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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