Todd A. Zonca
Professional summary
Todd Alan Zonca was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Todd is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Todd had worked at 5 firms, which includes INDEPENDENCE ONE BROKERAGE SERVICES INC., AMERICAN GENERAL EQUITY SERVICES CORPORATION, FSC SECURITIES CORPORATION, MARINER FINANCIAL SERVICES INC., MUTUAL SERVICE CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 1993 - June 18, 1997
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
October 31, 1990 - July 7, 1993
AMERICAN GENERAL EQUITY SERVICES CORPORATION
October 2, 1989 - September 6, 1990
FSC SECURITIES CORPORATION
November 20, 1985 - October 6, 1989
MARINER FINANCIAL SERVICES, INC.
May 25, 1983 - September 19, 1984
MUTUAL SERVICE CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
CRD#: 17529 / SEC#: , 8-35414
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MICHIGAN NATIONAL BANK, A NATIONAL BANKING ASSOCIATION | SHAREHOLDER | |
| BECK, ANNE MARIE | CHIEF FINANCIAL OFFICER | 1802500 |
| CHAPMAN, ALGER BALDWIN JR | CEO, DIRECTOR, CHAIRMAN | 44653 |
| GRANATA, LAWRENCE JOSEPH | ASSISTANT VICE PRESIDENT | 1088599 |
| HEIL, DEBORAH ANN | ASSISTANT SECRETARY | 2831382 |
| KELLY, DEAN SCOTT | PRESIDENT, DIRECTOR | 1036688 |
| KENNY, ANASTASIA MARIE | ASSISTANT VICE PRESIDENT, CROP, SROP | 1341868 |
| MASTROPIETRO, LOUIS CHRISTOPHER | EVP, DIRECTOR | 1384209 |
| NIEBER, LAURA ANN | SECRETARY | 4191339 |
| PECORA, ANTHONY P | CHIEF COMPLIANCE OFFICER | 2975013 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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