Todd A. Fitts
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 Allen Fitts was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1995. Todd had worked at 3 firms and has passed the Series 65, Series 63, Series 7 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
September 19, 2008 - March 2, 2012
SOUTHEASTERN ADVISORY GROUP, INC.
February 27, 2003 - October 18, 2006
ARTISAN PARTNERS DISTRIBUTORS LLC
July 14, 1999 - January 14, 2003
GPC SECURITIES, INC.
June 21, 1995 - March 27, 1998
SOUTHEASTERN ADVISORY GROUP, 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
Current Firm
SOUTHEASTERN ADVISORY GROUP, INC.
CRD#: 17041 / SEC#: , 8-34955
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SMALL, JOHN LEE | PRESIDENT/FINOP/SEC./TREASURER, CHIEF COMPLIANCE OFFICER | 2083245 |
Disclosures
| Regulatory Event | 2 |
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.
