Todd C. Pile
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 Christopher Pile was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 2008. Todd had worked at 3 firms and has passed the Series 66, SIE 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
April 9, 2013 - April 27, 2016
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
April 9, 2013 - April 27, 2016
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
October 5, 2009 - March 5, 2012
CHASE INVESTMENT SERVICES CORP.
October 5, 2009 - March 5, 2012
CHASE INVESTMENT SERVICES CORP.
January 14, 2009 - February 19, 2009
EDWARD JONES
December 17, 2008 - February 19, 2009
EDWARD JONES
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
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
