Vincent W. 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.
Vincent William Todd was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1974. Vincent had worked at 3 firms and has passed the Series 63, Series 1, Series 40 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2011 - March 31, 2014
INDIANA MERCHANT BANKING AND BROKERAGE CO., INC.
August 24, 2005 - November 30, 2010
INDIANA MERCHANT BANKING AND BROKERAGE CO., INC.
May 25, 2000 - October 31, 2003
INDIANA MERCHANT BANKING AND BROKERAGE CO., INC.
December 28, 1977 - February 23, 1999
PACTOLUS CAPITAL PARTNERS
March 22, 1974 - September 22, 1977
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 1
Date: 3/19/1974
Registered Representative ExaminationSeries 40
Date: 9/13/1977
Registered Principal ExaminationF04
Date: 8/23/1977
Financial Principal ExaminationCurrent Firm
INDIANA MERCHANT BANKING AND BROKERAGE CO., INC.
CRD#: 16315 / SEC#: , 8-33846
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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