Todd Sanders
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 Sanders was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1998. Todd had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2015 - December 6, 2019
PHX FINANCIAL, INC.
June 6, 2007 - May 18, 2015
EMPIRE ASSET MANAGEMENT COMPANY
December 12, 2006 - June 4, 2007
NATIONAL SECURITIES CORPORATION
March 29, 2005 - December 12, 2006
DAWSON JAMES SECURITIES, INC.
December 3, 2003 - March 30, 2005
NATIONAL SECURITIES CORPORATION
May 8, 2001 - January 2, 2004
JOSEPH STEVENS & CO., INC.
June 26, 2000 - May 11, 2001
MERCER PARTNERS INCORPORATED
October 15, 1999 - July 25, 2000
JOSEPH STEVENS & CO., INC.
January 27, 1998 - October 26, 1999
LCP CAPITAL CORP.
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
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
