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TERENCE LO
TERENCE CHEUKLUN LO, TERRY LO
CRD#: 2521586
IA
B
WELLS FARGO ADVISORSCRD#: 11025 155 NORTH LAKE AVENUE 8TH FLOOR
[SATELLITE]
PASADENA, CA 91101
[SATELLITE]
PASADENA, CA 91101
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7/10/2017
Customer Dispute
Denied
1/17/2012
Customer Dispute
Settled
12/29/2008
Customer Dispute
Settled
12/12/2008
Customer Dispute
Denied
12/13/2005
Customer Dispute
Denied
State Registrations
B
Arizona 9/5/2023
B
Nevada 9/11/2023
B
Arkansas 9/5/2023
B
New Mexico 9/5/2023
B
California 9/5/2023
B
North Carolina 9/5/2023
IA
California 9/5/2023
B
Texas 9/5/2023
B
Hawaii 9/7/2023
IA
Texas 9/5/2023
B
Illinois 9/5/2023
B
Utah 9/5/2023
B
Massachusetts 9/7/2023
B
Washington 9/6/2023
B
Montana 9/6/2023
SRO Registrations
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 9/5/2023
B
Registered with this firm since 9/5/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/03/2011 - 09/05/2023 | PASADENA, CA | |
B | 01/03/2011 - 09/05/2023 | PASADENA, CA | |
IA | 05/15/2001 - 01/03/2011 | PASADENA, CA | |
B | 05/02/2001 - 01/03/2011 | PASADENA, CA | |
B | 12/16/1996 - 05/02/2001 | SAN FRANCISCO, CA | |
B | 02/23/1996 - 12/09/1996 | ANAHEIM, CA | |
B | 01/20/1996 - 02/01/1996 | IRVINE, CA | |
B | 03/14/1995 - 01/12/1996 | ANAHEIM, CA | |
B | 11/02/1994 - 02/06/1995 | DULUTH, GA |
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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.