Todd J. Linley
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 Joseph Linley was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1988. Todd had worked at 12 firms and has passed the Series 63, 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
October 14, 2014 - August 29, 2019
THE LEADERS GROUP, INC.
September 16, 2011 - November 6, 2012
NBC SECURITIES, INC.
March 11, 2011 - September 21, 2011
EAGLE ONE INVESTMENTS, LLC
June 26, 2006 - May 6, 2009
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
January 18, 2001 - June 28, 2006
OSAIC FS, INC.
January 6, 2000 - December 1, 2000
IFMG SECURITIES, INC.
July 17, 1997 - December 31, 1999
INVEST FINANCIAL CORPORATION
February 16, 1995 - May 12, 1997
ALLSTATE FINANCIAL SERVICES, LLC
December 10, 1993 - February 16, 1995
ESSEX NATIONAL SECURITIES, LLC
November 19, 1991 - February 19, 1993
CAPITAL BROKERAGE CORPORATION
October 22, 1990 - November 15, 1991
ROBERT THOMAS SECURITIES, INC
February 23, 1988 - October 24, 1990
WAMU INVESTMENTS, INC.
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
