Todd E. Wendel
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 Wendel, who also goes by Todd E Wendel, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1992. Todd had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 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 20, 2017 - February 18, 2022
SYMETRA SECURITIES, INC.
October 8, 2013 - September 14, 2017
TRANSAMERICA CAPITAL, LLC
May 16, 2011 - August 6, 2013
STIRA CAPITAL MARKETS GROUP, LLC
December 8, 2008 - December 31, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
February 6, 2003 - December 31, 2006
JOHN HANCOCK DISTRIBUTORS LLC
January 1, 2002 - May 2, 2011
JOHN HANCOCK DISTRIBUTORS LLC
December 22, 1999 - January 1, 2002
MANULIFE WOOD LOGAN, INC.
October 13, 1992 - February 17, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 13, 1992 - February 17, 1993
SIGNATOR INVESTORS, 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
SYMETRA SECURITIES, INC.
CRD#: 739 / SEC#: , 8-13470
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYMETRA FINANCIAL CORPORATION | OWNER | |
| BALKOVETZ, CHANTEL LEE | DIRECTOR | 2490011 |
| DIMITRI, DAVID MICHAEL | SECRETARY | 4806001 |
| DOW, SHANEN LYNN | ASSISTANT TREASURER | 7676848 |
| ELLIS, COURTNEY LYNN | CHIEF OPERATING OFFICER | 5460601 |
| FARRELL, ANDREW MICHAEL | PRESIDENT, DIRECTOR | 4463467 |
| HANSON, COLLEEN | ASSISTANT VICE PRESIDENT, FINANCIAL AND OPERATIONS PRINCIPAL | 7271134 |
| MURPHY, COLLEEN MARY | DIRECTOR | 4842602 |
| NORBERG, KRISTIN ROUST | VICE PRESIDENT | 7033021 |
| OBERDECK, ANDREW A | ASSISTANT SECRETARY | 8015633 |
| OTTO, JOSEPHINE R | ASSISTANT SECRETARY | 8015301 |
| RABIN, KEVIN WILLIAM | DIRECTOR | 7033042 |
| SANDERS, BARBARA ANN | CHIEF COMPLIANCE OFFICER | 2206030 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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