AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
TS

Todd G. Schwendiman

Some features on this profile are disabled
CRD#: 1752320
TS

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 Gary Schwendiman was a registered financial advisor .

Todd is a previously registered financial advisor and started their career in finance in 2002. Todd had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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

February 16, 2017 - December 4, 2019

RACE ROCK CAPITAL LLC

BD
CRD#: 153363
WINCHESTER, MA
Past

October 14, 2009 - April 13, 2016

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC

BD
CRD#: 135131
ENGLEWOOD, NJ
Past

August 20, 2002 - October 17, 2002

SCHWENDIMAN TECHNOLOGY MANAGEMENT CO LLC

RIA
CRD#: 108021
CHARLOTTE, NC
Past

August 20, 2002 - December 31, 2002

SCHWENDIMAN PARTNERS LLC

RIA
CRD#: 108081
LINCOLN, NE

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
RR
Series 63
Date: 10/20/2009
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 8/17/2002
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/16/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/8/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/11/2009
General Securities Principal Examination

Current Firm

RR
RACE ROCK CAPITAL LLC
RACE ROCK CAPITAL LLC

CRD#: 153363 / SEC#: , 8-68528

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
7 Wainwright Road Unit #99, Winchester, MA 01890
Mailing Address
7 Wainwright Road Unit #99, Winchester, MA 01890
Phone number
(617) 840-0778
Established
Delaware since 02/09/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BARTELS, CHARLES ANDREWCHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, PFO, POO3207740
BARTELS, CHARLES RICHARD JRMANAGING DIRECTOR1817969
NEELY, KIMBERLY BETHFINANCIAL OPERATIONS PRINCIPAL2045019

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.

Company Information

RACE ROCK CAPITAL LLC

CRD#: 153363

TRUST BUT VERIFY

Monitor Todd Schwendiman

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.