Todd W. Kmiec

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CRD#: 1726325

Professional summary

Todd William Kmiec was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Todd is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Todd had worked at 6 firms, which includes CANTELLA & CO. INC., WELLS FARGO CLEARING SERVICES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, UBS FINANCIAL SERVICES INC., A. G. EDWARDS & SONS INC., NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 4, 2001 - June 3, 2002

CANTELLA & CO., INC.

CRD#: 13905

MALDEN, MA

Past

February 25, 2000 - November 28, 2001

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

October 19, 1995 - March 14, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 14, 1991 - October 2, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 26, 1988 - June 19, 1991

A. G. EDWARDS & SONS, INC.

CRD#: 4

Past

November 27, 1987 - June 19, 1991

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

September 24, 1987 - December 11, 1987

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/31/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/18/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/19/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 7/5/1995

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

CANTELLA & CO., INC.

CANTELLA & CO., INC. | CANTELLA SPECIALIST CORP (CEASED BUSINESS 1/31/2002) | CANTELLA INSURANCE AGENCY, INC.

CRD#: 13905 / SEC#: 801-60841, 8-23904

Terminated by SEC on 05/14/2023

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Contact information

Main Address

389 Main Street 1st Fl., Malden, MA, 02148

Mailing Address

Phone number

(617) 521-8630

Established

Massachusetts since 05/21/1979

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

197

FINRA licenses (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

CANTELLA & CO INC. ADV PART 2A - FIRM BROCHURE (7/8/2022)

Direct owners and executive officers

Name	Position	CRD#
CANTELLA MANAGEMENT CORPORATION	SHAREHOLDER
LANSTEIN, JONATHAN	DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER	4557328
MCEVOY, WILLIAM HADLEY	DIRECTOR, CHIEF FINANCIAL OFFICER	5240677

Regulatory assets under management

Total Number of Accounts	5,665
AUM (Assets Under Management)	$ 1,929,399,963

Disclosures

Regulatory Event	19
Civil Event	1
Arbitration	6
Bond	5

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/27/2023	Cover Page	Report
11/27/2023	Cover Page	Report

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.

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Todd W. Kmiec

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/31/1995

Series 63

Date: 12/18/1987

Series 7

Date: 9/19/1987

Series 8

Date: 7/5/1995

Current Firm

CANTELLA & CO., INC.

Contact information

FINRA licenses (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CANTELLA & CO., INC.

TRUST BUT VERIFY

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