Walter B. Terry
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.
Walter Bliss Terry was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1978. Walter had worked at 17 firms and has passed the Series 63, Series 5 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
April 8, 2011 - November 20, 2012
TOWER SQUARE SECURITIES, INC.
January 28, 2005 - September 22, 2008
VFINANCE INVESTMENTS, INC
July 2, 2004 - July 20, 2004
COWEN PRIME SERVICES TRADING LLC
December 10, 2003 - June 15, 2004
MERRIMAN CAPITAL, INC.
October 22, 1999 - December 18, 2002
WELLS FARGO SECURITIES, LLC
October 24, 1997 - October 1, 1999
DABNEY FLANIGAN, LLC
August 13, 1997 - December 31, 1997
FIRST ALLIED SECURITIES, INC.
February 10, 1997 - June 18, 1997
DABNEY/RESNICK/IMPERIAL, LLC
September 23, 1991 - December 13, 1996
CIBC WORLD MARKETS CORP.
May 30, 1990 - October 29, 1990
L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, LLC
November 24, 1989 - May 22, 1990
DRAKE & COMPANY, INC.
March 31, 1986 - January 11, 1988
SBC WARBURG DILLON READ INC.
July 29, 1985 - March 21, 1986
MORGAN STANLEY DW INC.
March 26, 1984 - November 7, 1984
BECKER PARIBAS INCORPORATED
December 21, 1978 - April 11, 1984
KIDDER, PEABODY & CO. INCORPORATED
September 26, 1978 - December 1, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 1978 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
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 5
Date: 10/16/1981
Interest Rate Options ExaminationCurrent Firm
TOWER SQUARE SECURITIES, INC.
CRD#: 833 / SEC#: 801-50585, 8-13752
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLAZA LLC | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
| Bond | 2 |
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.
