Teri L. Carter
Professional summary
Teri Lynn Carter, who also goes by Teri Lynn Ohaver, Teri Lynn Sorensen, is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Fort Mill, South Carolina.
Teri is registered as a RR (Registered Representative) and started their career in finance in 2023. Teri has worked at 1 firm and has passed the Series 63, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Teri Lynn Carter's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 16, 2023 - Present
TRANSAMERICA INVESTORS SECURITIES, 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
(2/6/2024)
(2/6/2024)
(9/24/2024)
(2/5/2024)
Exams
Series 6TO
Date: 8/16/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
TRANSAMERICA INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| CALVI, ENNA MARIA | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 2373021 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
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.
