Tod V. Sona
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.
Tod Victor Sona, who also goes by Tod VIctor Sona, was a registered financial professional .
Tod is a previously registered financial professional and started their career in finance in 1998. Tod had worked at 9 firms and has passed the Series 66, Series 65, 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
June 18, 2015 - October 13, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 15, 2015 - October 13, 2016
TD AMERITRADE, INC.
June 8, 2015 - October 13, 2016
TD AMERITRADE, INC.
July 30, 2013 - March 6, 2014
CHARLES SCHWAB & CO., INC.
July 23, 2013 - March 6, 2014
CHARLES SCHWAB & CO., INC.
February 7, 2013 - April 17, 2013
SEELAUS ASSET MANAGEMENT, LLC
January 14, 2013 - April 17, 2013
R. SEELAUS & CO., LLC
August 23, 2012 - January 18, 2013
EDWARD JONES
May 9, 2002 - November 4, 2002
WELLS FARGO CLEARING SERVICES, LLC
August 2, 2001 - January 30, 2002
A. G. EDWARDS & SONS, INC.
August 27, 1999 - July 13, 2001
CHARLES SCHWAB & CO., INC.
July 27, 1998 - June 28, 1999
PRUDENTIAL EQUITY GROUP, 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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
