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TE

Todd F. Ermenio

HARBOR FUNDS DISTRIBUTORS
Paoli, PA
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CRD#: 2377540
TE

Professional summary


Todd Francis Ermenio is a registered financial professional currently at HARBOR FUNDS DISTRIBUTORS, INC. located in Paoli, Pennsylvania.

Todd is registered as a RR (Registered Representative) and started their career in finance in 1993. Todd has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4, Series 53 and Series 24 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


None

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) - BD


Click below to view Todd Francis Ermenio's CRS (Customer Relationship Summary).

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


Current

December 6, 2023 - Present

HARBOR FUNDS DISTRIBUTORS, INC.

BD
CRD#: 113506
Paoli, PA
Past

July 7, 2021 - December 4, 2023

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
SAN MATEO, CA
Past

July 30, 2019 - July 7, 2021

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
SAN MATEO, CA
Past

January 19, 2005 - July 7, 2021

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA
Past

October 14, 2003 - January 13, 2005

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
DENVER, CO
Past

July 24, 2003 - October 10, 2003

GOLDMAN SACHS ASSET MANAGEMENT, L.P.

RIA
CRD#: 107738
NEW YORK, NY
Past

September 3, 2002 - October 1, 2003

GOLDMAN SACHS & CO. LLC

RIA
CRD#: 361
CHICAGO, IL
Past

July 20, 1999 - October 1, 2003

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

February 4, 1997 - July 16, 1999

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
NEW YORK, NY
Past

September 19, 1995 - June 12, 1996

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

December 21, 1993 - July 21, 1995

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(12/6/2023)
RR
Alaska
(12/6/2023)
RR
Arizona
(12/6/2023)
RR
Arkansas
(12/6/2023)
RR
California
(12/6/2023)
RR
Colorado
(12/6/2023)
RR
Connecticut
(12/6/2023)
RR
Delaware
(12/6/2023)
RR
District of Columbia
(12/6/2023)
RR
Florida
(12/6/2023)
RR
Georgia
(12/6/2023)
RR
Hawaii
(12/6/2023)
RR
Idaho
(12/6/2023)
RR
Illinois
(12/6/2023)
RR
Indiana
(12/6/2023)
RR
Iowa
(12/6/2023)
RR
Kansas
(12/6/2023)
RR
Kentucky
(12/6/2023)
RR
Louisiana
(12/6/2023)
RR
Maine
(12/6/2023)
RR
Maryland
(12/6/2023)
RR
Massachusetts
(12/6/2023)
RR
Michigan
(12/6/2023)
RR
Minnesota
(12/6/2023)
RR
Mississippi
(12/6/2023)
RR
Missouri
(12/6/2023)
RR
Montana
(12/6/2023)
RR
Nebraska
(12/6/2023)
RR
Nevada
(12/6/2023)
RR
New Hampshire
(12/6/2023)
RR
New Jersey
(12/6/2023)
RR
New Mexico
(12/6/2023)
RR
New York
(12/6/2023)
RR
North Carolina
(12/6/2023)
RR
North Dakota
(12/6/2023)
RR
Ohio
(12/7/2023)
RR
Oklahoma
(12/6/2023)
RR
Oregon
(12/6/2023)
RR
Pennsylvania
(12/6/2023)
RR
Puerto Rico
(12/6/2023)
RR
Rhode Island
(12/6/2023)
RR
South Carolina
(12/6/2023)
RR
South Dakota
(12/6/2023)
RR
Tennessee
(12/6/2023)
RR
Texas
(12/6/2023)
RR
Utah
(12/6/2023)
RR
Vermont
(12/6/2023)
RR
Virgin Islands
(12/6/2023)
RR
Virginia
(12/6/2023)
RR
Washington
(12/6/2023)
RR
West Virginia
(12/6/2023)
RR
Wisconsin
(12/6/2023)
RR
Wyoming
(12/6/2023)

Exams


State Security Law Exam
RR
IAR
Series 66
Date: 4/29/2002
Uniform Combined State Law Examination
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA

Current Firm


HF
HARBOR FUNDS DISTRIBUTORS, INC.
BCA SECURITIES, INC. | HCA SECURITIES, INC. | HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506 / SEC#: , 8-53339

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information


Main Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606
Mailing Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606
Phone number
(312) 443-4420
Established
Delaware since 02/21/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Direct owners and executive officers


NamePositionCRD#
HARBOR CAPITAL ADVISORS, INC.SHAREHOLDER
HALABY, JOHN STEVEPRESIDENT AND DIRECTOR2543904
KUNKEL, JACOB JEFFREYCHIEF FINANCIAL OFFICER AND TREASURER6108628
MCCAIN, CHARLES FREDERICKCHIEF EXECUTIVE OFFICER AND DIRECTOR4865638
NEE, STEPHANIE ANNCHIEF COMPLIANCE OFFICER4968097

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.

Company Information


HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506Paoli, PA

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