Theodore P. Langworthy
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.
Theodore Paul Langworthy, who also goes by Ted Langworthy, Theodore Paul Langworthy, Theodore Langworthy, was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1998. Theodore had worked at 10 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, 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 22, 2022 - October 8, 2025
SMBC NIKKO SECURITIES AMERICA, INC.
September 1, 2021 - July 8, 2022
BNP PARIBAS SECURITIES CORP.
August 9, 2017 - September 23, 2021
DEUTSCHE BANK SECURITIES INC.
April 28, 2015 - July 19, 2017
SEB SECURITIES, INC.
June 13, 2012 - July 2, 2014
HSBC SECURITIES (USA) INC.
November 2, 2009 - June 12, 2012
DEUTSCHE BANK SECURITIES INC.
April 10, 2002 - October 27, 2009
MORGAN STANLEY & CO. LLC
April 30, 2001 - April 12, 2002
ING FINANCIAL MARKETS LLC
April 25, 2000 - April 30, 2001
ABN AMRO SECURITIES LLC
May 17, 1999 - May 12, 2000
J.P. MORGAN SECURITIES INC.
July 23, 1998 - August 11, 1999
DB ALEX. BROWN 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 11/5/2021
Securities Trader ExamCurrent Firm
SMBC NIKKO SECURITIES AMERICA, INC.
CRD#: 28602 / SEC#: , 8-43852
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SMBC AMERICAS HOLDINGS, INC. | SHAREHOLDER | |
| ASHBY, SCOTT ALLEN | PRESIDENT, CEO, DIRECTOR, CO-HEAD OF COVERAGE & CAPITAL MARKETS, EXECUTIVE COMMITTEE MEMBER | 2883181 |
| DAVISON, RICHARD PATRICK | DIRECTOR | 4890514 |
| EISENBERG, RICHARD ALLAN | DEPUTY PRESIDENT, DIRECTOR, CO-HEAD OF COVERAGE & CAPITAL MARKETS, EXECUTIVE COMMITTEE MEMBER | 3118461 |
| ISHIKAWA, TSUKASA | DEPUTY PRESIDENT, DIRECTOR, CHIEF OPERATING OFFICER, EXECUTIVE COMMITTEE MEMBER | 7948966 |
| KAWARA, AKIHIRO | DEPUTY HEAD OF GLOBAL MARKETS, AMERICAS, DIRECTOR, CHAIRPERSON OF THE BOARD | 7471377 |
| KEE, DAVID | DEPUTY PRESIDENT, EXECUTIVE COMMITTEE MEMBER | 6238539 |
| KIM, SANGJOON | CHIEF RISK OFFICER, EXECUTIVE COMMITTEE MEMBER | 2545295 |
| KRANZ, AVERY H | CHIEF COMPLIANCE OFFICER, EXECUTIVE COMMITTEE MEMBER | 2795963 |
| NONAKA, MASAHITO | HEAD OF GLOBAL MARKETS, AMERICAS, DEPUTY PRESIDENT, DIRECTOR, EXECUTIVE COMMITTEE MEMBER | 7221513 |
| OISHI, SHUMPEI | DEPUTY PRESIDENT, EXECUTIVE COMMITTEE MEMBER | 6100774 |
| PIETRO, BRIAN | FINOP, PRINCIPAL OPERATIONS OFFICER, DEPUTY CHIEF OPERATING OFFICER, EXECUTIVE COMMITTEE MEMBER | 5323643 |
| TUN, NATHAN | PRINCIPAL FINANCIAL OFFICER | 5551828 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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