Todd A. Sepsick
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 Anthony Sepsick, who also goes by Todd A Sepsick, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1994. Todd had worked at 10 firms and has passed the Series 63, Series 55, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2013 - October 22, 2013
CROSS POINT CAPITAL LLC
October 22, 2012 - March 1, 2013
MAXIM GROUP LLC
April 30, 2010 - June 11, 2012
BUCKMAN, BUCKMAN & REID, INC.
February 5, 2008 - June 24, 2009
JONESTRADING
December 14, 2004 - February 11, 2008
RAYMOND JAMES & ASSOCIATES, INC.
January 9, 2003 - December 10, 2004
MORGAN JOSEPH TRIARTISAN LLC
January 2, 2002 - January 2, 2003
LIBRA SECURITIES, LLC
June 22, 2001 - December 31, 2001
U.S. BANCORP INVESTMENTS, INC.
November 5, 1996 - September 3, 1999
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
September 7, 1994 - November 11, 1994
WS GRIFFITH SECURITIES, 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: 1/30/2002
Limited Representative-Equity Trader ExamCurrent Firm
CROSS POINT CAPITAL LLC
CRD#: 136223 / SEC#: , 8-66989
Contact information
FINRA licenses (17 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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