Todd E. Cuomo
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 Edward Cuomo was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1989. Todd had worked at 16 firms and has passed the Series 63, Series 56, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2011 - February 1, 2013
LEGEND TRADING, LLC
May 2, 2007 - January 2, 2008
MADISON PROPRIETARY TRADING GROUP, LLC
May 12, 1998 - October 15, 2002
ALEX MOORE & COMPANY, INC.
March 2, 1998 - April 28, 1998
NEUTRAL SWITCH, INC.
April 10, 1995 - March 17, 1997
COLIN WINTHROP & CO., INC.
July 12, 1994 - August 3, 1994
GROSSMAN & CO., LLC.
January 26, 1994 - April 20, 1995
BG CAPITAL, INC.
September 21, 1993 - November 27, 1993
COLIN WINTHROP & CO., INC.
July 7, 1993 - August 31, 1993
GOLDIS FINANCIAL GROUP, INC.
February 18, 1993 - July 6, 1993
CAMELOT INVESTMENT CORP.
June 24, 1992 - February 22, 1993
FIRST ASSET MANAGEMENT, INC.
July 30, 1991 - June 30, 1992
ROBERT TODD FINANCIAL CORP.
February 4, 1991 - July 31, 1991
FIRST CHOICE SECURITIES CORP.
September 5, 1990 - December 7, 1990
MALONE & ASSOCIATES, INC.
April 27, 1990 - September 11, 1990
MLB INVESTMENTS, LTD.
February 5, 1990 - May 3, 1990
VANDERBILT SECURITIES, INC.
March 21, 1989 - February 15, 1990
J. T. MORAN & CO., 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
Series 56
Date: 2/16/2012
Proprietary Trader Qualification ExaminationCurrent Firm
LEGEND TRADING, LLC
CRD#: 150567 / SEC#: , 8-68269
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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