Theodore S. Troth
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.
Theodore Shipley Troth was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 2005. Theodore had worked at 6 firms and has passed the Series 63, Series 65, Series 82TO, SIE, Series 79, 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
January 8, 2019 - October 10, 2022
TERRANOVA CAPITAL EQUITIES, INC
July 12, 2017 - December 31, 2018
AEDIS CAPITAL LLC
June 2, 2017 - August 6, 2018
MID-MARKET SECURITIES, LLC
October 15, 2015 - May 10, 2017
MARV CAPITAL INC.
May 22, 2007 - August 13, 2009
HSBC SECURITIES (USA) INC.
September 29, 2005 - December 31, 2005
J.P. MORGAN SECURITIES 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
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsCurrent Firm
TERRANOVA CAPITAL EQUITIES, INC
CRD#: 45097 / SEC#: , 8-50973
Contact information
FINRA licenses (39 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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