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DANA BRENT JOHN TERRY
DANA B J TERRY
CRD#: 2460334
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 20 PACIFICA
IRVINE, CA 92618
IRVINE, CA 92618
0
Disclosures
29
Years of Experience
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State Registrations
B
Alabama 2/4/2015
B
Montana 10/31/2008
B
Alaska 9/17/2013
B
Nevada 10/31/2008
B
Arizona 10/31/2008
B
New Hampshire 6/23/2021
B
Arkansas 10/31/2008
B
New Jersey 8/13/2019
B
California 10/31/2008
B
New Mexico 10/31/2008
IA
California 11/3/2008
B
New York 10/31/2008
B
Colorado 10/31/2008
B
North Carolina 10/31/2008
B
Delaware 11/17/2020
B
North Dakota 4/19/2021
B
District of Columbia 10/11/2023
B
Ohio 5/12/2009
B
Florida 10/31/2008
B
Oklahoma 10/31/2008
B
Georgia 10/31/2008
B
Oregon 5/5/2009
B
Hawaii 10/31/2008
B
Pennsylvania 10/31/2008
B
Idaho 10/31/2008
B
Rhode Island 11/15/2021
B
Illinois 10/31/2008
B
South Carolina 10/31/2008
B
Indiana 12/6/2021
B
South Dakota 10/31/2008
B
Iowa 2/26/2019
B
Tennessee 10/31/2008
B
Kansas 6/25/2009
B
Texas 10/31/2008
B
Louisiana 8/9/2022
IA
Texas 2/10/2009
B
Maryland 10/31/2008
B
Utah 10/31/2008
B
Massachusetts 8/24/2023
B
Virginia 10/31/2008
B
Michigan 10/31/2008
B
Washington 10/31/2008
B
Minnesota 12/9/2019
B
West Virginia 10/31/2008
B
Mississippi 5/5/2009
B
Wisconsin 6/1/2015
B
Missouri 10/31/2008
B
Wyoming 1/22/2018
SRO Registrations
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IA
Registered with this firm since 11/3/2008
B
Registered with this firm since 10/31/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/08/1997 - 11/18/2008 | LAGUNA NIGUEL, CA | |
B | 03/01/1996 - 11/18/2008 | LAGUNA NIGUEL, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.