Tadd A. Lindsay
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Tadd Alan Lindsay SR. was a registered financial professional .
Tadd is a previously registered financial professional and started their career in finance in 2001. Tadd had worked at 3 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2012 - October 27, 2020
MPI SECURITIES, INC.
November 6, 2009 - July 12, 2010
J.P. MORGAN SECURITIES LLC
October 30, 2009 - July 12, 2010
J.P. MORGAN SECURITIES LLC
June 5, 2001 - February 17, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 20, 2001 - February 17, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MPI SECURITIES, INC.
CRD#: 38192 / SEC#: , 8-48125
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HASSAN, JOSEPH C | SHAREHOLDER/BOARD MEMBER | 6011320 |
| KERRIGAN, DAN | FINOP & PRESIDENT | 5313064 |
| KERRIGAN, DAN | SHAREHOLDER/DIRECTOR | 5313064 |
| LINGERFIELD, MARK ERIC | SHAREHOLDER/BOARD MEMBER | 6011316 |
| MEYERS, ROY HOWARD | SHAREHOLDER/BOARD MEMBER | 2595601 |
| POVLICH, TODD GEOFFREY | SHAREHOLDER | 6011335 |
| SCHUMAN, DEBORAH | SHAREHOLDER | 1098812 |
| VARGA, JOHN LAWRENCE III | SHAREHOLDER | 6011333 |
| JASEY, TRACEY M | CHIEF COMPLIANCE OFFICER | 5469121 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
