Todd A. Marriott
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 Allan Marriott was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 2005. Todd had worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2010 - May 1, 2017
ADVANCE CAPITAL SERVICES, INC.
May 26, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
May 26, 2005 - June 30, 2010
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
ADVANCE CAPITAL SERVICES, INC.
CRD#: 19347 / SEC#: , 8-37456
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANCE CAPITAL GROUP, INC. | HOLDING COMPANY | |
| CAPPELLI, ROBERT JOSEPH | DIRECTOR | 1633880 |
| HARKLEROAD, KATHY JO | VICE PRESIDENT, CCO, SECTY. | 2128508 |
| KATYNSKI, JULIE ANN | VICE PRESIDENT-FINANCE, ASST. SECTY. | 2610072 |
| RATHKA, RAYMOND AUGUST | DIRECTOR | 1633889 |
| SHOEMAKER, JOHN CALVIN | DIRECTOR | 1633885 |
| THEISEN, JOSEPH ROBERT | PRESIDENT | 4275238 |
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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