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TH

Todd S. Horlbeck

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CRD#: 2028567
TH

Professional summary

Todd Spencer Horlbeck was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Todd is a previously registered financial advisor and started their career in finance in 1991. Prior to being barred, Todd had worked at 4 firms, which includes FINTEGRA LLC, FIRST ALLIED SECURITIES INC., CANTELLA & CO. INC., A. G. EDWARDS & SONS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Todd S Horlbeck

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

March 23, 2010 - June 30, 2011

FINTEGRA, LLC

RIA
CRD#: 16741
ST CHARLES, IL
Past

March 22, 2010 - June 30, 2011

FINTEGRA, LLC

BD
CRD#: 16741
ST CHARLES, IL
Past

February 26, 2010 - March 10, 2010

FIRST ALLIED SECURITIES, INC.

RIA
CRD#: 32444
ST. CHARLES, IL
Past

February 26, 2010 - March 10, 2010

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
ST. CHARLES, IL
Past

October 13, 2005 - March 18, 2010

CANTELLA & CO., INC.

RIA
CRD#: 13905
ST. CHARLES, IL
Past

March 28, 2002 - March 18, 2010

CANTELLA & CO., INC.

BD
CRD#: 13905
ST. CHARLES, IL
Past

June 21, 1991 - April 4, 2002

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO

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
IAR
Series 66
Date: 8/31/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/13/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/21/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/6/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/18/2001
General Securities Sales Supervisor - Options Module Examination

Current Firm

FL
FINTEGRA, LLC
FINTEGRA FINANCIAL SOLUTIONS | PARK INVESTMENT CORPORATION | JM PARK, INC. | FINTEGRA, LLC

CRD#: 16741 / SEC#: 801-56275, 8-34434

BD
Cancelled by SEC on 10/26/2016
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Contact information

Main Address
401 Second Avenue North Suite 400, Minneapolis, MN 55401
Mailing Address
Phone number
Established
Minnesota since 10/22/1998
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

2015 FIRM BROCHURE (3/31/2015)

Direct owners and executive officers

NamePositionCRD#
FINTEGRA HOLDINGS, LLCSHAREHOLDERS
CAURRO, STEPHEN ANTHONYBOARD OF DIRECTORS5845813
CONNER, DANIELBOARD OF DIRECTORS
SCHMITZ, DOUGLAS GENEBOARD OF DIRECTORS1771132
SCHUH, JEFFREY ALLENCHIEF FINANCIAL OFFICER, FINOP1036839
WALTER, KENNETH JOHNBOARD OF DIRECTORS5845803
WEBER, DOREEN LEAPRESIDENT/CEO/CCO1368639

Disclosures

Regulatory Event4
Arbitration1

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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Company Information

FINTEGRA, LLC

CRD#: 16741

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