Todd J. Gold
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 Jeremy Gold, who also goes by Todd J Gold, Todd Gold, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1999. Todd had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 55, 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
January 25, 2018 - November 1, 2019
LADENBURG THALMANN & CO. INC.
June 7, 2006 - February 6, 2018
CHARDAN CAPITAL MARKETS LLC
February 26, 2004 - June 14, 2006
MULTITRADE SECURITIES LLC
September 29, 2003 - February 27, 2004
SANDERS MORRIS LLC
February 24, 2003 - September 15, 2003
APB FINANCIAL GROUP, LLC
November 1, 2002 - November 11, 2002
STG SECURE TRADING GROUP, INC.
November 12, 1999 - September 4, 2001
GRUNTAL & CO., L.L.C.
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: 4/30/2001
Limited Representative-Equity Trader ExamCurrent Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
Red Flags
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