Todd L. Spillane
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 L Spillane, who also goes by Todd L Spillane, Todd Lawrence Spillane, Todd Spillane, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1989. Todd had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2005 - December 13, 2007
FUND MANAGEMENT COMPANY
December 15, 2004 - August 21, 2015
INVESCO DISTRIBUTORS, INC.
September 4, 2002 - December 7, 2004
PINEBRIDGE SECURITIES LLC
February 1, 2002 - September 11, 2002
COREBRIDGE CAPITAL SERVICES, INC.
July 8, 2000 - January 15, 2002
AMERICAN GENERAL SECURITIES INCORPORATED
March 13, 2000 - July 28, 2000
VALIC FINANCIAL ADVISORS, INC.
August 23, 1994 - September 30, 1999
NICHOLAS-APPLEGATE SECURITIES LLC
November 28, 1989 - June 10, 1994
AELTUS CAPITAL, INC
July 11, 1989 - December 21, 1989
AETNA FINANCIAL SERVICES, 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
FUND MANAGEMENT COMPANY
CRD#: 25585 / SEC#: , 8-41848
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| A I M ADVISORS, INC. | DIRECT OWNER | |
| BRAY, PATRICK RICHARD | SENIOR VICE PRESIDENT | 1203154 |
| HARTLEY, DAVID ALEXANDER | CHIEF FINANCIAL OFFICER AND TREASURER | 2220099 |
| HOPPE, WILLIAM EDWIN JR | SENIOR VICE PRESIDENT | 1414325 |
| KELLEY, KAREN DUNN | DIRECTOR & PRESIDENT | 1084249 |
| MISSIMER, LYMAN III | SENIOR VICE PRESIDENT | 2689635 |
| REJSEK, LANCE ALLEN | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2262873 |
| SPILLANE, TODD LAWRENCE | VICE PRESIDENT | 1884586 |
| STARLING-KLATT, REBECCA ALLISON | CHIEF COMPLIANCE OFFICER | 2385771 |
| ZERR, JOHN MARK | DIRECTOR | 2792416 |
Red Flags
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