Todd L Spillane
Professional Summary
Todd L Spillane, who also goes by Todd L Spillane, Todd Lawrence Spillane, Todd Spillane, was a registered financial advisor. Todd was a previously registered financial professional and started their career in finance 1989 - 2007. Todd had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Todd L Spillane, Todd Lawrence Spillane, Todd Spillane
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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.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
FUND MANAGEMENT COMPANY
Contact Information
Established
Texas since 05/08/1969Firm Type
CorporationFiscal Year End
DecemberDocuments
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 |
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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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 26 — Investment Company Products/Variable Contracts Principal Examination
Passed May 1989About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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