Todd W. Alton

PMA SECURITIES

Denver, CO 80202

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CRD#: 2876968

Professional summary

Todd William Alton is a registered financial professional currently at PMA SECURITIES, LLC located in Denver, Colorado.

Todd is registered as a RR (Registered Representative) and started their career in finance in 1997. Todd has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 12, 2024 - Present

PMA SECURITIES, LLC

Office #1: 717 17th Street Suite 1850, Denver, CO 80202

CRD#: 30397

Denver, CO

Past

May 14, 2018 - November 17, 2020

BEAR CREEK SECURITIES LLC

CRD#: 139941

DENVER, CO

Past

November 21, 2017 - November 17, 2020

BEAR CREEK ASSET MANAGEMENT, LLC

RIA

CRD#: 137677

DENVER, CO

Past

March 28, 2016 - November 16, 2017

PTMA INVESTMENT ADVISORS

RIA

CRD#: 159189

DENVER, CO

Past

March 19, 2007 - October 12, 2007

WELTON STREET INVESTMENTS LLC

CRD#: 132111

ENGLEWOOD, CO

Past

November 15, 2004 - December 8, 2005

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

October 20, 1998 - November 12, 2004

COUNTRY CLUB FINANCIAL SERVICES, LLC

CRD#: 29807

KANSAS CITY, MO

Past

May 22, 1997 - October 13, 1998

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(12/10/2024)

Exams

State Security Law Exam

Series 63

Date: 6/16/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/14/2018

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/19/1997

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PMA SECURITIES, LLC

ENGLISH CONCEPTS, INC. | PMA SECURITIES, LLC | PMA SECURITIES, INC.

CRD#: 30397 / SEC#: , 8-44905

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

2135 Citygate Lane 7th Floor, Naperville, IL 60563

Mailing Address

2135 Citygate Lane 7th Floor, Naperville, IL 60563

Phone number

(630) 657-6400

Established

Illinois since 03/26/2019

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (23 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
PMA ACQUISITION, LLC	MEMBER
DAVIS, JAMES O'NEILL	CHIEF EXECUTIVE OFFICER	2660454
MARTENS, JONATHAN RAY	FINANCIAL AND OPERATIONS PRINCIPAL	4593466
RAGUS, LORI ANN	GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER/SECRETARY	5754738

Red Flags

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Firm Stability Insights

Todd W. Alton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Todd William Alton's CRS (Customer Relationship Summary).

Certified licenses

Experience

BEAR CREEK SECURITIES LLC

BEAR CREEK ASSET MANAGEMENT, LLC

PTMA INVESTMENT ADVISORS

WELTON STREET INVESTMENTS LLC

PIPER SANDLER & CO.

COUNTRY CLUB FINANCIAL SERVICES, LLC

WMA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/16/2020

SIE

Date: 10/1/2018

Series 7

Date: 5/14/2018

Series 6

Date: 5/19/1997

FINRA

Current Firm

PMA SECURITIES, LLC

Contact information

FINRA licenses (23 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PMA SECURITIES, LLC

TRUST BUT VERIFY

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