Todd D. Smith
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 Donald Smith, who also goes by Todd D Smith, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1994. Todd had worked at 14 firms and has passed the Series 66, Series 63, Series 7, Series 6 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
February 15, 2011 - July 24, 2012
MADISON AVENUE SECURITIES, LLC
February 14, 2011 - July 24, 2012
MADISON AVENUE SECURITIES, LLC
July 7, 2010 - February 18, 2011
PARK AVENUE SECURITIES LLC
June 4, 2010 - June 28, 2010
EAGLE STRATEGIES LLC
April 27, 2010 - June 28, 2010
NYLIFE SECURITIES LLC
September 23, 2008 - August 18, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 15, 2008 - August 18, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 2006 - September 16, 2008
VOYA FINANCIAL ADVISORS, INC.
February 15, 2006 - September 16, 2008
VOYA FINANCIAL ADVISORS, INC.
July 28, 2005 - February 17, 2006
HORNOR, TOWNSEND & KENT, LLC
February 16, 1999 - February 17, 2006
HORNOR, TOWNSEND & KENT, LLC
May 19, 1998 - February 12, 1999
LOCUST STREET SECURITIES, INC.
February 14, 1997 - May 20, 1998
BMA FINANCIAL SERVICES, INC.
December 17, 1996 - February 6, 1997
AMERICAN GENERAL EQUITY SERVICES CORPORATION
November 15, 1995 - December 18, 1996
MEYERS POLLOCK ROBBINS, INC.
March 8, 1995 - October 27, 1995
PENN CAPITAL FINANCIAL SERVICES, INC.
July 25, 1994 - March 27, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 25, 1994 - March 27, 1995
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
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
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
