Todd H. Nadell
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 Howard Nadell, who also goes by Tod Howard Nadell, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1983. Todd had worked at 10 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 8 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
October 26, 2001 - October 8, 2003
HSBC BROKERAGE (USA) INC.
October 28, 1996 - October 22, 2001
PRUDENTIAL EQUITY GROUP, LLC
February 1, 1995 - October 31, 1996
FISERV INVESTOR SERVICES, INC.
September 19, 1990 - February 1, 1995
CAPITAL BROKERAGE CORPORATION
November 6, 1989 - August 15, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
April 7, 1989 - April 19, 1989
WILLIAM M. CADDEN & CO., INC.
April 6, 1989 - October 12, 1989
LEHMAN BROTHERS INC.
January 5, 1989 - March 10, 1989
INVESTORS CENTER, INC.
November 17, 1987 - January 10, 1989
J. T. MORAN & CO., INC.
December 5, 1984 - December 22, 1987
INVESTORS CENTER, INC.
December 21, 1983 - December 19, 1984
INDIVIDUAL'S SECURITIES LTD.
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
Series 8
Date: 9/5/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HSBC BROKERAGE (USA) INC.
CRD#: 6956 / SEC#: , 8-19814
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HSBC MARKETS (USA) INC. | 100% SHAREHOLDER | |
| BENAK, MARVIN | SALES DIRECTOR | 3179319 |
| COON, DAVID BRUCE | HEAD OF SALES INFRASTRUCTURE | 720493 |
| ESPOSITO, RAYMOND | SALES DIRECTOR | 2271775 |
| FUREY III, THOMAS JOSEPH | DIRECTOR, CHIEF TRADING OFFICER | 4383891 |
| GALLINO, JOSEPH ANTHONY | ASSISTANT SECRETARY & CHIEF COMPLIANCE OFFICER | 1076376 |
| MCDONAGH, BRENDAN PAUL | DIRECTOR, CHAIRMAN | |
| MURNANE, JEREMIAH THOMAS | DIRECTOR | |
| PLIS, DANIEL JOSEPH | SALES DIRECTOR | 1316128 |
| SAMANIEGO, FABIAN ANABAL JR | DIRECTOR, COO & CFO | 1195996 |
| SCORDATO, DAVID VINCENT | SALES DIRECTOR | 1641185 |
| TUNG, GEA | SECRETARY | 2320421 |
| WEBSTER, GREGORY HAROLD | DIRECTOR, CEO & FIRM PRINCIPAL | 1494389 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 5 |
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.
