Teresa M. Morrissey
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 Marie Morrissey, who also goes by Terry Morrissey, Walter E Morrissey Mrs., Teresa Ma Pharo, Teresa Marie Pharo, Teresamarie Wellner, was a registered financial professional .
Teresa is a previously registered financial professional and started their career in finance in 1981. Teresa had worked at 7 firms and has passed the Series 65, Series 63 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
Experience
October 23, 2009 - January 17, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - January 17, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 1, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 26, 2006 - February 11, 2008
CITIGROUP GLOBAL MARKETS INC.
November 1, 2005 - October 24, 2006
BREAN CAPITAL, LLC
April 19, 2004 - March 14, 2006
BREAN MURRAY & CO., INC.
February 27, 2004 - April 24, 2004
MAHLER & EMERSON INC.
August 24, 1981 - March 19, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 1981 - August 25, 1981
JANNEY MONTGOMERY SCOTT LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
