Terry J. Atzen
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.
Terry Jon Atzen, who also goes by Terry J Atzen, was a registered financial advisor .
Terry is a previously registered financial advisor and started their career in finance in 1968. Terry had worked at 10 firms and has passed the Series 65, Series 63, PC, Series 000, Series 1, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2002 - September 29, 2003
BROOKSTREET SECURITIES CORPORATION
August 1, 2002 - September 29, 2003
BROOKSTREET SECURITIES CORPORATION
April 27, 2000 - August 1, 2002
FINANCIAL WEST GROUP
May 3, 1999 - August 1, 2002
FINANCIAL WEST GROUP
May 24, 1996 - May 4, 1999
EQIS SECURITIES, LLC
February 15, 1988 - March 3, 1988
LEHMAN BROTHERS INC.
February 8, 1988 - May 28, 1996
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1985 - February 15, 1988
E. F. HUTTON & COMPANY INC
March 24, 1981 - January 14, 1985
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
September 26, 1978 - April 20, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 29, 1968 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
October 25, 1968 - August 16, 1985
UBS FINANCIAL SERVICES INC.
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
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 000
Date: 10/25/1968
General Securities Principal ExaminationSeries 1
Date: 10/25/1968
Registered Representative ExaminationSeries 12
Date: 6/8/1981
NYSE Branch Manager ExaminationCurrent Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
