Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Teresa? Claim Your ProfileTeresa Leigh Drummond is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., a leading investment firm. Teresa has over 30 years of experience in the financial services industry, with previous roles at Barclays Capital Inc., Lehman Brothers Inc., Smith Barney Inc., CS First Boston Corporation, Prudential Securities Incorporated, and Paine Webber Incorporated. Teresa holds a wide range of licenses and certifications, including Series 3, 7, 8, 9, 10, 24, 63, and 65. Teresa provides various services to her clients, including portfolio management, financial planning, and investment research.
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
07/08/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DALLAS TX)
TX
09/22/2008 - 12/15/2015
BARCLAYS CAPITAL INC. (DALLAS TX)
TX
08/06/1998 - 09/22/2008
LEHMAN BROTHERS INC. (DALLAS TX)
NY
08/09/1995 - 07/27/1998
SMITH BARNEY INC. (NEW YORK NY)
NY
03/25/1993 - 03/30/1995
CS FIRST BOSTON CORPORATION (NEW YORK NY)
NY
10/10/1989 - 03/10/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
08/20/1987 - 11/16/1990
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 11/22/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/09/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/12/2013
Series 24 - General Securities Principal Examination
BC
Issued 09/09/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/27/2000
Series 3 - National Commodity Futures Examination
BC
Issued 08/15/1987
Series 7 - General Securities 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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