Todd A. Paikin
Professional summary
Todd Andrew Paikin is a registered financial professional currently at NATALLIANCE SECURITIES, LLC located in Charlotte, North Carolina.
Todd is registered as a RR (Registered Representative) and started their career in finance in 1991. Todd has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Todd Andrew Paikin's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 13, 2022 - Present
NATALLIANCE SECURITIES, LLC
Office #1: 4201 Congress St, Ste 375, Charlotte, NC 28209October 6, 2011 - September 20, 2022
WALL STREET ACCESS
August 31, 2010 - September 23, 2011
COWEN SECURITIES LLC
June 19, 2008 - August 18, 2010
LIGHTHOUSE FINANCIAL GROUP, LLC
January 27, 2006 - June 18, 2008
J.P. MORGAN SECURITIES LLC
June 7, 2005 - January 27, 2006
INSTITUTIONAL DIRECT INC.
October 27, 1994 - June 9, 2005
COWEN EXECUTION SERVICES LLC
April 13, 1994 - October 19, 1994
JOSEPHTHAL & CO., INC.
June 23, 1992 - April 21, 1994
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
August 21, 1991 - June 25, 1992
J. W. GANT & ASSOCIATES, 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
(9/13/2022)
(9/13/2022)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/6/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
NATALLIANCE SECURITIES, LLC
CRD#: 39455 / SEC#: , 8-48723
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATALLIANCE HOLDING COMPANY LLC | OWNER | |
| ADAMS, JASON | BOARD MEMBER | 2690575 |
| BRENNER, ANDREW SCOTT | BOARD MEMBER | 1227535 |
| BUSH, FRED COSTON | CFO/COO | 3075024 |
| CARREON, MICHELLE ELLIS | CCO | 4861485 |
| GIORDANO, MICHAEL JAMES | BOARD MEMBER | 5942248 |
| HENDRICKSON, GEORGE ALEXANDER BROWN | BOARD MEMBER | 2382347 |
| LIEPMAN, JOHN FRANCIS | BOARD MEMBER | 2037298 |
| LOERCH, SAMUEL JAMES | BOARD MEMBER | 1195328 |
| SALTER, MARK MYLES | BOARD MEMBER/CEO/PRESIDENT | 1180139 |
| TAYLOR, BRADFORD STEPHEN | BOARD MEMBER | 5751455 |
Disclosures
| Regulatory Event | 8 |
Red Flags
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