Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Teresa? Claim Your ProfileTeresa Penn is a financial advisor with over 20 years of experience in the industry. Teresa currently works at Merrill Lynch, Pierce, Fenner & Smith Inc. Prior to her current role, Teresa worked at a number of firms including BANC OF AMERICA INVESTMENT SERVICES, INC., BANC ONE SECURITIES CORPORATION, and CHASE INVESTMENT SERVICES CORP. Teresa is registered to provide investment advice in multiple states and is well-equipped to offer services including portfolio management for individuals and businesses, pension consulting, and educational seminars.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
10/23/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DALLAS TX)
TX
07/03/2006 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (DALLAS TX)
IL
01/30/2002 - 05/08/2006
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
IL
03/29/2005 - 04/17/2006
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
IL
07/05/2001 - 01/16/2002
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
FL
04/04/2000 - 12/19/2000
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
TN
09/22/1999 - 03/28/2000
ICBA FINANCIAL SERVICES CORPORATION (MEMPHIS TN)
NY
03/18/1998 - 12/23/1999
MONY SECURITIES CORPORATION (NEW YORK NY)
IA
Issued 07/10/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/16/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/09/2007
Series 4 - Registered Options Principal Examination
BC
Issued 11/29/2006
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/28/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/03/2000
Series 7 - General Securities Representative Examination
BC
Issued 03/16/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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