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TS

Todd A. Surgoine

TELSEY ADVISORY GROUP
NEW YORK, NY 10017
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CRD#: 3193394
TS
Todd Allan SurgoineTELSEY ADVISORY GROUP

Professional summary

Todd Allan Surgoine is a registered financial professional currently at TELSEY ADVISORY GROUP LLC located in New York, New York.

Todd is registered as a RR (Registered Representative) and started their career in finance in 1999. Todd has worked at 5 firms and has passed the Series 63, Series 16, SIE, Series 7, Series 14 and Series 24 exams.

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Todd Allan Surgoine's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 21, 2012 - Present

TELSEY ADVISORY GROUP LLC

Office #1: 555 Fifth Ave. 7th Floor, New York, NY, 10017
BD
CRD#: 148234
NEW YORK, NY
Past

January 30, 2012 - November 9, 2012

WALLER FINANCIAL PLANNING GROUP, INC.

RIA
CRD#: 159564
COLUMBUS, OH
Past

November 17, 2008 - September 19, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
COLUMBUS, OH
Past

March 17, 2003 - April 16, 2012

WALLER FINANCIAL PLANNING GROUP INC

RIA
CRD#: 105814
COLUMBUS, OH
Past

August 19, 1999 - November 26, 2008

OSAIC WEALTH, INC.

RIA
CRD#: 23131
COLUMBUS, OH
Past

March 31, 1999 - November 26, 2008

OSAIC WEALTH, INC.

BD
CRD#: 23131
COLUMBUS, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(10/8/2021)
RR
Ohio
(9/21/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 10/16/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 16
Date: 11/6/2021
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/30/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/26/2000
General Securities Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

TA
TELSEY ADVISORY GROUP LLC
TELSEY ADVISORY GROUP LLC | TELSEY CAPITAL GROUP LLC

CRD#: 148234 / SEC#: , 8-67988

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
555 Fifth Ave. 7th Floor, New York, NY, 10017
Mailing Address
555 Fifth Ave. 7th Floor, New York, NY, 10017
Phone number
(212) 973-9700
Established
Delaware since 05/28/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (19 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
TELSEY HOLDINGS LLCOWNER
ARZU, JERRY STANLEYCFO/FINOP3024670
CHIN, TOM KAIMANAGING DIRECTOR2420035
EKSTEIN, LEIGH EVANVICE CHAIRMAN5111262
FELDMAN, JOSEPH ISAACMANAGING DIRECTOR4260057
NAPOLITANO, AMY ANNCCO4024302
TELSEY, DANA LAURENCEO1289497

Red Flags

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Company Information

TELSEY ADVISORY GROUP LLC

CRD#: 148234New York, NY 10017

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