Tod Bretton
Professional summary
Tod Bretton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Tod is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Tod had worked at 10 firms, which includes PRESTIGE FINANCIAL CENTER INC., BASIC INVESTORS INC., INSTITUTIONAL EQUITY CORPORATION, SHARPE CAPITAL INC., MURPHEY MARSEILLES SMITH & NAMMACK INC., MEYERS POLLOCK ROBBINS INC., MONITOR INVESTMENT GROUP INC., PARAGON CAPITAL MARKETS INC., ROBERT M. COHEN & CO. INC., GOLDIS FINANCIAL GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2001 - November 17, 2009
PRESTIGE FINANCIAL CENTER, INC.
July 10, 2000 - February 20, 2001
BASIC INVESTORS INC.
November 6, 1998 - July 10, 2000
INSTITUTIONAL EQUITY CORPORATION
May 1, 1997 - September 11, 1998
SHARPE CAPITAL, INC.
September 16, 1996 - April 30, 1997
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
August 16, 1996 - September 7, 1996
MEYERS POLLOCK ROBBINS, INC.
March 22, 1996 - September 5, 1996
MONITOR INVESTMENT GROUP, INC.
March 28, 1995 - March 20, 1996
PARAGON CAPITAL MARKETS, INC.
May 25, 1993 - March 30, 1995
ROBERT M. COHEN & CO., INC.
December 7, 1992 - May 20, 1993
GOLDIS FINANCIAL GROUP, 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 55
Date: 1/7/2002
Limited Representative-Equity Trader ExamCurrent Firm
PRESTIGE FINANCIAL CENTER, INC.
CRD#: 30407 / SEC#: , 8-44919
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT PRESTIGE, LLC | OWNER | |
| KIRSHBAUM, LAWRENCE GARY | PRESIDENT/CHIEF FINANCIAL OFFICER/FINOP/CCO | 270856 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 7 |
Red Flags
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