Todd A. Witt
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 Andrew Witt, CFP® was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1998. Todd had worked at 14 firms and has passed the Series 66, Series 65, Series 63, Series 31, 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
Start date: 2015
Experience
September 15, 2020 - February 1, 2022
FACET
May 20, 2019 - February 7, 2020
LINDEN THOMAS ADVISORY SERVICES, LLC
May 27, 2016 - May 7, 2019
SUGARWOOD FINANCIAL
January 14, 2016 - March 14, 2016
CWA ASSET MANAGEMENT GROUP
January 8, 2013 - October 3, 2014
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
December 3, 2010 - January 22, 2014
ASPIRE PRIVATE CAPITAL
October 7, 2008 - June 16, 2009
KALOS MANAGEMENT
October 7, 2008 - June 16, 2009
KALOS CAPITAL, INC.
August 7, 2006 - December 31, 2007
OSAIC FS, INC.
July 3, 2006 - December 31, 2007
OSAIC FS, INC.
January 5, 2006 - April 24, 2006
USALLIANZ SECURITIES, INC.
January 5, 2006 - April 24, 2006
USALLIANZ SECURITIES, INC.
January 11, 2005 - November 1, 2005
FIRST HORIZON ADVISORS, INC.
September 16, 2004 - November 1, 2005
FIRST HORIZON ADVISORS, INC.
August 5, 2003 - September 14, 2004
KEYBANC CAPITAL MARKETS INC.
April 29, 1999 - August 4, 2003
ASSET MANAGEMENT SECURITIES CORP.
August 13, 1998 - February 9, 1999
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
FACET
CRD#: 285961 / SEC#: 801-108767
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
FACET
CRD#: 285961 / SEC#: 801-108767
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 36,817 |
| AUM (Assets Under Management) | $ 4,754,146,771 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/29/2025 |
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.
