Todd M. Schuerman
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 Michael Schuerman was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 2004. Todd had worked at 9 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2010 - March 30, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
March 12, 2010 - June 15, 2012
PACIFIC WEST SECURITIES, INC.
September 4, 2007 - August 6, 2009
CAPITAL ONE ADVISORS, LLC
September 4, 2007 - August 6, 2009
CAPITAL ONE INVESTING, LLC
January 1, 2007 - August 10, 2007
STOCKCROSS FINANCIAL SERVICES, INC.
February 2, 2006 - January 1, 2007
TRADESTAR INVESTMENTS,INC.
May 13, 2005 - December 31, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 13, 2005 - December 31, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 15, 2004 - June 4, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
January 15, 2004 - June 4, 2004
IDS LIFE INSURANCE COMPANY
January 15, 2004 - June 4, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
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
PACIFIC WEST FINANCIAL CONSULTANTS INC
CRD#: 108728 / SEC#: 801-55508
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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