Todd J. Shalack
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.
Todd Jeffrey Shalack, who also goes by Todd J Shalack, Shalack J Todd, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1993. Todd had worked at 16 firms and has passed the Series 63, Series 66, 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
November 27, 2015 - March 16, 2016
LEGEND SECURITIES, INC.
December 5, 2013 - March 31, 2014
MML INVESTORS SERVICES, LLC
November 21, 2013 - March 31, 2014
MML INVESTORS SERVICES, LLC
October 17, 2011 - December 20, 2011
LEONARD & COMPANY
October 10, 2011 - December 20, 2011
LEONARD & COMPANY
May 8, 2008 - October 22, 2009
SAXONY CAPITAL MANAGEMENT, LLC
May 5, 2008 - October 22, 2009
SAXONY SECURITIES, INC.
March 3, 2008 - March 4, 2008
QUEST CAPITAL STRATEGIES, INC.
March 19, 2007 - March 4, 2008
QUEST CAPITAL STRATEGIES, INC.
June 20, 2005 - October 21, 2005
1ST DISCOUNT BROKERAGE, INC.
June 11, 2003 - September 8, 2003
CLEARING SERVICES OF AMERICA, INC.
March 29, 2001 - June 14, 2001
M.S. FARRELL & COMPANY, INC.
June 7, 2000 - March 9, 2001
QUEST CAPITAL STRATEGIES, INC.
January 20, 1998 - July 27, 1998
WOODSTOCK FINANCIAL GROUP, INC.
June 20, 1996 - July 3, 1996
JWGENESIS SECURITIES, INC.
November 8, 1995 - July 9, 1996
SAPERSTON FINANCIAL INC.
March 17, 1995 - November 8, 1995
OPPENHEIMER & CO. INC.
April 13, 1994 - March 31, 1995
GRUNTAL & CO., L.L.C.
April 4, 1994 - April 26, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 23, 1993 - April 11, 1994
GKN SECURITIES CORP.
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
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
Red Flags
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