Todd M. Schoenberger
Professional summary
Todd Michael Schoenberger was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Todd is a previously registered financial advisor and started their career in finance in 1994. Prior to being barred, Todd had worked at 7 firms, which includes USAA INVESTMENT SERVICES COMPANY, INVESTORS SECURITY COMPANY INC., GENESIS PARTNERS INC., ANNUITYNET INSURANCE AGENCY INC., GUGGENHEIM DISTRIBUTORS LLC, LEGG MASON WOOD WALKER INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2007 - August 4, 2009
USAA INVESTMENT SERVICES COMPANY
September 8, 2005 - December 31, 2006
INVESTORS SECURITY COMPANY, INC.
August 17, 2005 - August 19, 2005
GENESIS PARTNERS, INC.
June 20, 2005 - December 31, 2006
INVESTORS SECURITY COMPANY, INC.
August 4, 2000 - January 31, 2005
ANNUITYNET INSURANCE AGENCY, INC.
October 23, 1999 - July 7, 2000
GUGGENHEIM DISTRIBUTORS, LLC
May 30, 1997 - February 17, 1999
LEGG MASON WOOD WALKER, INCORPORATED
September 2, 1994 - June 17, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
Red Flags
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