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TD

Terry K. Dorsey

SP SECURITIES LLC
Houston, TX 77057
Some features on this profile are disabled
CRD#: 4892039
TD

Professional summary

Terry K. Dorsey is a registered financial professional currently at SP SECURITIES LLC located in Houston, Texas.

Terry is registered as a RR (Registered Representative) and started their career in finance in 2005. Terry has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 28 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Terry K. Dorsey's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 17, 2012 - Present

SP SECURITIES LLC

Office #1: 1800 Augusta Drive Suite 312, Houston, TX 77057
BD
CRD#: 130560
Houston, TX
Past

May 6, 2009 - January 26, 2012

ABSHIER WEBB DONNELLY & BAKER, INC.

BD
CRD#: 104051
HOUSTON, TX
Past

May 25, 2005 - May 4, 2007

WOODROCK SECURITIES, L.P.

BD
CRD#: 133653
HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(6/11/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 6/30/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 1/2/2023
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SP SECURITIES LLC
SP SECURITIES LLC

CRD#: 130560 / SEC#: , 8-66360

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
6363 Woodway Dr Suite 1000, Houston, TX 77057
Mailing Address
6363 Woodway Dr Suite 1000, Houston, TX 77057
Phone number
(713) 819-8980
Established
Texas since 01/15/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SAGE PARTNERS LTD.SOLE MEMBER
BINET, TODD M.MANAGER, REGISTERED PRINCIPAL
MILLER, DAVID SUTTONMANAGER, REGISTERED PRINCIPAL2097046
MORIN, PETER B.MANAGER, REGISTERED PRINCIPAL
WALTON, H. STEVENMANAGER, REGISTERED PRINCIPAL
WILSON, WILLIAM HOWARD JRMANAGER, REGISTERED PRINCIPAL, AML PRINCIPAL
WILSON, WILLIAM HOWARD JRDESIGNATED PRINCIPAL, FINOP, CHIEF COMPLIANCE OFFICER1430161

Disclosures

Regulatory Event1

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.

Company Information

SP SECURITIES LLC

CRD#: 130560Houston, TX 77057

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