John C. 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.
John Charles Todd was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1974. John had worked at 10 firms and has passed the Series 63, Series 65, PC, Series 1, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2002 - July 26, 2006
B. C. ZIEGLER AND COMPANY
October 20, 1997 - April 30, 1998
L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, LLC
July 11, 1994 - September 10, 1997
RODMAN & RENSHAW INC.
August 7, 1989 - June 30, 1994
GRUNTAL & CO., L.L.C.
August 4, 1988 - July 24, 1989
HAMILTON INVESTMENTS, INC.
November 21, 1986 - July 25, 1988
J.P. MORGAN SECURITIES LLC
April 16, 1985 - November 12, 1986
TUCKER ANTHONY INCORPORATED
October 30, 1984 - April 8, 1985
CRALIN & CO., INC.
November 1, 1982 - October 5, 1984
CIBC WORLD MARKETS CORP.
November 23, 1976 - July 13, 1981
CIBC WORLD MARKETS CORP.
January 28, 1974 - December 26, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 7/22/1980
AMEX Put and Call ExamSeries 1
Date: 1/23/1974
Registered Representative ExaminationSeries 12
Date: 3/16/1980
NYSE Branch Manager ExaminationCurrent Firm
B. C. ZIEGLER AND COMPANY
CRD#: 61 / SEC#: 801-19699, 8-94
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ZIEGLER COMPANIES, INC. | PARENT COMPANY | |
| DAVID, ANGELIQUE ATHIENA | EMD, GENERAL COUNSEL, CORPORATE SECRETARY, COO | 5445800 |
| HERMANN, DANIEL JOSEPH | CEO AND PRESIDENT | 1790977 |
| JEFFERSON, RYAN T | MANAGING DIRECTOR, CFO & DIRECTOR | 5844031 |
| KERR, MARCLETTA R | DIRECTOR, CHIEF COMPLIANCE OFFICER | 7463114 |
| STROM, KEVIN LOUIS | EMD HEAD OF CAPITAL MARKETS | 1595516 |
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 2 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Wisconsin | ERA - Withdrawn | 3/3/2025 |
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.
