Todd Thibodeau
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 Thibodeau, who also goes by Todd Allan Thibodeau, Todd Allan Thibodeau, Todd A Thibodeau, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 2002. Todd had worked at 8 firms and has passed the Series 65, Series 63, SIE, 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
June 19, 2021 - June 22, 2022
CUNA BROKERAGE SERVICES, INC.
August 24, 2018 - August 5, 2019
SANTANDER SECURITIES LLC
August 24, 2018 - August 5, 2019
SANTANDER SECURITIES LLC
March 21, 2012 - August 14, 2018
VOYA FINANCIAL ADVISORS, INC.
January 3, 2011 - August 14, 2018
VOYA FINANCIAL ADVISORS, INC.
August 17, 2010 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
September 30, 2008 - July 21, 2010
EQUITY SERVICES, INC.
June 13, 2006 - September 17, 2008
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
November 18, 2005 - September 17, 2008
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
August 2, 2004 - November 21, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 22, 2002 - August 11, 2004
CITIGROUP GLOBAL MARKETS 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
Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
