Constance E. Todd
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.
Constance Elaine Todd, who also goes by Constance Elaine Fellow, Elaine Todd, Constance Elaine Welborn, was a registered financial professional .
Constance is a previously registered financial professional and started their career in finance in 1986. Constance had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2005 - December 31, 2017
CFD INVESTMENTS, INC.
March 24, 2005 - December 31, 2017
CREATIVE FINANCIAL DESIGNS, INC.
November 8, 2002 - April 1, 2005
ARLINGTON WEALTH MANAGEMENT
June 13, 2000 - March 22, 2005
WORLD EQUITY GROUP, INC.
June 5, 2000 - March 22, 2005
WORLD EQUITY GROUP, INC.
November 8, 1999 - June 14, 2000
WATERSTONE FINANCIAL GROUP, INC.
November 20, 1996 - December 31, 1998
MML INVESTORS SERVICES, LLC
May 11, 1994 - November 11, 1996
NYLIFE SECURITIES LLC
April 9, 1991 - March 24, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 9, 1991 - March 24, 1994
OSAIC FA, INC.
February 7, 1990 - October 29, 1990
TOWER SQUARE SECURITIES, INC.
September 26, 1986 - December 20, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 26, 1986 - December 20, 1989
EQUITABLE ADVISORS, LLC
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
CFD INVESTMENTS, INC.
CRD#: 25427 / SEC#: , 8-41727
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAUN, BRIGIT R | OWNER | 6585909 |
| OWENS, BRENT ANTHONY | PRESIDENT/DIRECTOR | 2261719 |
| ROCKEY, BROOKE LEIGH | OWNER | 4817176 |
| THE OWENS FAMILY TRUST DATED 8/1/2017 | OWNER | |
| BAHRENBURG, MATTHEW O | CHIEF COMPLIANCE OFFICER | 5295661 |
| HALE, DANIEL KRIS | OWNER, VICE PRESIDENT, DIRECTOR | 2649813 |
| OWENS, MICKEY LEE | DIRECTOR, TRUSTEE OF THE OWENS FAMILY TRUST DATED 8/1/2017 | 1437001 |
| ROCKEY, CHRISTOPHER M | OWNER | 5504531 |
| ROOZE, KREGG JERROD | DIRECTOR, SECRETARY, TREASURER | 3174063 |
Disclosures
| Regulatory Event | 8 |
| Bond | 1 |
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.
