Herbert S. Mansfield
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.
Herbert Stanley Mansfield was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1970. Herbert had worked at 4 firms and has passed the Series 63 and V06 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2003 - June 8, 2005
TODD SECURITIES, LLC
August 1, 2003 - November 18, 2003
WALNUT STREET SECURITIES, INC.
September 24, 1997 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
September 16, 1970 - December 31, 2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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
V06
Date: 9/14/1970
Variable Annuities Module ExaminationCurrent Firm
TODD SECURITIES, LLC
CRD#: 116150 / SEC#: , 8-53531
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TODD CONSULTING, INC. | PARENT | |
| FRANCIS, KEVIN DAYTON | FINANCIAL AND OPERATIONS PRINCIPAL | 4901460 |
Red Flags
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