Britain L. Todd
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.
Britain Luce Todd, who also goes by Britain L Elrod, Britain Luce Elrod, was a registered financial professional .
Britain is a previously registered financial professional and started their career in finance in 2004. Britain had worked at 8 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2014 - September 16, 2014
KESTRA INVESTMENT SERVICES, LLC
June 26, 2014 - August 14, 2014
FINANCIAL TELESIS INC
October 1, 2012 - May 23, 2013
J.P. MORGAN SECURITIES LLC
June 11, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 27, 2009 - September 19, 2011
LPL FINANCIAL LLC
May 1, 2008 - September 10, 2009
PRUCO SECURITIES, LLC.
June 17, 2005 - March 7, 2007
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 19, 2004 - March 17, 2005
CITICORP INVESTMENT SERVICES
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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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