Todd A. Boren
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 A Boren was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1994. Todd had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2014 - January 15, 2015
KESTRA INVESTMENT SERVICES, LLC
November 5, 2014 - January 15, 2015
KESTRA INVESTMENT SERVICES, LLC
February 28, 2013 - October 3, 2014
FISHER INVESTMENTS
September 22, 2011 - November 14, 2012
ALLIANCEBERNSTEIN L.P.
July 28, 2011 - November 14, 2012
SANFORD C. BERNSTEIN & CO., LLC
January 5, 2005 - June 9, 2011
PINNACLE FINANCIAL GROUP, LLC
October 14, 2004 - June 14, 2011
PINNACLE FINANCIAL GROUP, LLC
February 26, 2004 - December 15, 2004
COMMONWEALTH FINANCIAL NETWORK
February 18, 2004 - December 15, 2004
COMMONWEALTH FINANCIAL NETWORK
November 21, 2002 - March 5, 2004
GLOBAL ASSETS ADVISORS, LLC
May 27, 1994 - February 19, 2004
INTERNATIONAL ASSETS ADVISORY, LLC
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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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