Todd R. Stucky
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 Rand Stucky was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1996. Todd had worked at 6 firms and has passed the Series 65, Series 63, SIE 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
October 25, 2018 - March 25, 2019
THE O.N. EQUITY SALES COMPANY
March 9, 2012 - September 21, 2018
PRINCIPAL SECURITIES, INC.
March 8, 2012 - September 21, 2018
PRINCIPAL SECURITIES, INC.
January 4, 2010 - March 9, 2012
VOYA FINANCIAL ADVISORS, INC.
March 1, 2004 - March 9, 2012
VOYA FINANCIAL ADVISORS, INC.
November 1, 2001 - December 31, 2003
M HOLDINGS SECURITIES, INC.
November 5, 1999 - November 12, 2001
NATHAN & LEWIS SECURITIES, INC.
March 12, 1996 - October 4, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| 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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