Theresa A. Cavalier
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 Ann Cavalier, CFP®, ChFC®, CLU®, CPWA® was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 2008. Theresa had worked at 8 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2015-04-02
Expire date: 2023-03-31
Experience
March 2, 2022 - September 15, 2022
CITIZENS SECURITIES, INC.
October 8, 2021 - September 15, 2022
CITIZENS SECURITIES, INC.
August 23, 2021 - November 30, 2021
CITIZENS SECURITIES, INC.
August 4, 2020 - September 15, 2022
CITIZENS PRIVATE WEALTH
January 29, 2019 - February 27, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 9, 2013 - May 13, 2015
UBS FINANCIAL SERVICES INC.
July 9, 2013 - May 13, 2015
UBS FINANCIAL SERVICES INC.
July 30, 2010 - September 6, 2011
EQUITY SERVICES, INC.
July 30, 2010 - September 6, 2011
EQUITY SERVICES, INC.
May 11, 2009 - July 12, 2010
EAGLE STRATEGIES LLC
March 18, 2009 - July 12, 2010
NYLIFE SECURITIES LLC
January 23, 2009 - February 20, 2009
WADDELL & REED
December 25, 2008 - February 20, 2009
WADDELL & REED
Primary Firm SEC Registration
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
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
Series 7TO
Date: 10/8/2021
General Securities Representative ExaminationCurrent Firm
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
