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Todd Houston Nabb

CRD# 1594562·Registered 1987 - 1989
Previously Registered: Being a previously registered professional could mean that Todd 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.

Professional Summary

Todd Houston Nabb, who also goes by Todd H Nabb, was a registered financial advisor. Todd was a previously registered financial professional and started their career in finance 1987 - 1989. Todd had worked at 2 firms and has passed the Series 6 exam.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Todd H Nabb

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

39 years in the financial services industry

Current & Past Employments

SOUTHMARK FINANCIAL SERVICES, INC.·CRD# 6518
BD
April 14, 1988 - April 5, 1989
SOUTHMARK FINANCIAL SERVICES, INC.·CRD# 6518
BD
October 16, 1987 - December 23, 1987
PRUCO SECURITIES, LLC.·CRD# 5685
BD
February 2, 1987 - November 20, 1987

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Current Firm

SF
SOUTHMARK FINANCIAL SERVICES, INC.

SOUTHMARK FINANCIAL SERVICES, INC. | UNIVERSITY SECURITIES CORPORATION

CRD#: 6518 / SEC#: 8-31808
BD
Terminated by FINRA on 11/20/1990

Contact Information

Established

Texas since 03/16/1984

Firm Type

Corporation

Documents

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jan 1987About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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