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Todd Nocella

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CRD#: 4547985
TN

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.

Todd Nocella, who also goes by Todd Kenneth Nocella, was a registered financial professional .

Todd is a previously registered financial professional and started their career in finance in 2009. Todd had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Todd Kenneth Nocella

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 6, 2015 - May 31, 2017

HENDERSON GLOBAL INVESTORS EQUITY PLANNING, INC.

BD
CRD#: 101640
CHICAGO, IL
Past

November 27, 2012 - February 10, 2015

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

July 8, 2010 - September 13, 2012

JEFFERIES HIGH YIELD TRADING, LLC

BD
CRD#: 47363
STAMFORD, CT
Past

July 6, 2010 - September 13, 2012

JEFFERIES LLC

BD
CRD#: 2347
STAMFORD, CT
Past

November 13, 2009 - June 24, 2010

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY

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

State Security Law Exam
RR
Series 63
Date: 12/29/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/12/2009
General Securities Representative Examination

Current Firm

HG
HENDERSON GLOBAL INVESTORS EQUITY PLANNING, INC.
HENDERSON GLOBAL INVESTORS EQUITY PLANNING, INC. | HENDERSON INVESTORS EQUITY PLANNING, INC.

CRD#: 101640 / SEC#: , 8-52105

BD
Terminated by SEC on 08/01/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 04/28/1999
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HENDERSON GLOBAL INVESTORS (NORTH AMERICA) INC.SOLE SHAREHOLDER
GOLDEN, CHRISTOPHER MARKSECRETARY6014473
KOCHEVAR, ANNE STEELECHIEF COMPLIANCE OFFICER1281519
O'BRIEN, JAMES GERARDDIRECTOR4507305
SKINNER, MARTIN ROBERTFINANCIAL PRINCIPAL5287522

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

HENDERSON GLOBAL INVESTORS EQUITY PLANNING, INC.

CRD#: 101640

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