Todd L. Hickman
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 Levaughn Hickman was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1988. Todd had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 1994 - August 15, 1994
A. T. BROD & CO. INC.
April 19, 1993 - April 26, 1993
ALLIED CAPITAL, INC.
February 8, 1993 - March 29, 1993
ADVANCED EQUITY GROUP, INC.
July 29, 1992 - January 26, 1993
AMERICAN BOND GROUP, INC.
June 6, 1992 - July 15, 1992
GKN SECURITIES CORP.
July 29, 1991 - April 22, 1992
IFMG SECURITIES, INC.
August 16, 1990 - May 22, 1991
CAPITAL BROKERAGE CORPORATION
January 30, 1990 - July 17, 1990
IDS LIFE INSURANCE COMPANY
January 30, 1990 - July 17, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
October 4, 1988 - March 10, 1989
INVESTORS CENTER, INC.
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
A. T. BROD & CO. INC.
CRD#: 1319 / SEC#: , 8-31866
Contact information
Documents
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.
