Teri S. Kendall
Professional summary
Teri Sue Kendall is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Chicago , Illinois.
Teri is registered as a RR (Registered Representative) and started their career in finance in 2012. Teri has worked at 5 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Teri Sue Kendall's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 6, 2022 - Present
B. RILEY SECURITIES, INC.
Office #1: 151 N Franklin St Suite 500, Chicago , IL 60606October 30, 2019 - August 11, 2022
FOCALPOINT SECURITIES, LLC
November 27, 2018 - October 3, 2019
BROWN, GIBBONS, LANG & COMPANY SECURITIES, LLC
May 16, 2016 - September 26, 2018
LAZARD MIDDLE MARKET LLC
July 24, 2012 - March 23, 2016
BMO CAPITAL MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/6/2022)
Exams
FINRA
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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