Theodore J. Settanny
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.
Theodore John Settanny JR, who also goes by Jr Theodore John Settanny, Ted Settanny Jr, Theodore J Settanny Jr, Theodore J. Settanny Jr, Theodore John Settanny, Theodore John Settany Jr, was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1992. Theodore had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2009 - December 31, 2017
WORLD CAPITAL BROKERAGE, INC.
July 19, 2006 - June 5, 2009
PARKLAND SECURITIES, LLC
April 11, 1996 - July 26, 2006
WOODBURY FINANCIAL SERVICES, INC.
September 19, 1994 - April 11, 1996
WS GRIFFITH SECURITIES, INC.
May 8, 1992 - September 16, 1994
METROPOLITAN LIFE INSURANCE COMPANY
May 8, 1992 - September 16, 1994
MSI 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
WORLD CAPITAL BROKERAGE, INC.
CRD#: 37 / SEC#: , 8-6805
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
