AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
TS

Todd A. Schroeder

PHILLIP CAPITAL
Chicago, IL 60604-2653
Some features on this profile are disabled
CRD#: 3203892
TS

Professional summary

Todd Allen Schroeder, who also goes by Todd Alan Schroeder, is a registered financial professional currently at PHILLIP CAPITAL INC. located in Chicago, Illinois.

Todd is registered as a RR (Registered Representative) and started their career in finance in 2007. Todd has worked at 5 firms and has passed the Series 7TO, SIE and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Todd Alan Schroeder

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 Allen Schroeder's CRS (Customer Relationship Summary).
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

March 9, 2026 - Present

PHILLIP CAPITAL INC.

Office #1: 141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653
BD
CRD#: 173869
Chicago, IL
Past

September 4, 2013 - February 1, 2016

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

November 13, 2009 - August 3, 2011

PALAFOX TRADING LLC

BD
CRD#: 131114
CHICAGO, IL
Past

February 13, 2007 - January 30, 2009

CITADEL TRADING GROUP L.L.C.

BD
CRD#: 24514
CHICAGO, IL
Past

February 13, 2007 - August 3, 2011

CITADEL SECURITIES LLC

BD
CRD#: 116797
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 3/9/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/21/2025
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 2/12/2007
Financial and Operations Principal Examination
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA

Current Firm

PC
PHILLIP CAPITAL INC.
PHILLIP CAPITAL INC. | PHILLIPCAPITAL

CRD#: 173869 / SEC#: , 8-69558

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653
Mailing Address
141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653
Phone number
(312) 356-9000
Established
Delaware since 04/30/2010
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (44 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PHILLIP CAPITAL (USA) PTE LTDOWNER
CARTER, DEREK DAVIDCFO4261872
CULLEN, TIMOTHY BRENNANCHIEF COMPLIANCE OFFICER5290046
FRAZIER, CAMERON PAYNEDIRECTOR6420648
LECCHINI, FILIPPOCHIEF EXECUTIVE OFFICER5875701
SCHROEDER, TODD ALLENCHIEF OPERATING OFFICER3203892

Disclosures

Regulatory Event6

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.

Company Information

PHILLIP CAPITAL INC.

CRD#: 173869Chicago, IL 60604-2653

TRUST BUT VERIFY

Monitor Todd Schroeder

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Michael Walter Basile
Michael BasileAdvisorCheck Check Mark
COUNTRY CAPITAL MANAGEMENT COMPANY
RR
Chicago, IL
LP
Louis PasterAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Chicago, IL
JV
Jaime VillalobosAdvisorCheck Check Mark
WILLIAM BLAIR
IAR
RR
Chicago, IL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.