Todd H. Smalling
Professional summary
Todd Hagan Smalling, who also goes by Todd Smalling, is a registered financial professional currently at BTIG, LLC located in New York, New York.
Todd is registered as a RR (Registered Representative) and started their career in finance in 2009. Todd has worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Todd Hagan Smalling's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 19, 2011 - Present
BTIG, LLC
Office #1: Park Avenue Tower 65 East 55th Street, New York, NY 10022October 14, 2009 - December 9, 2011
J.P. MORGAN SECURITIES 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
(12/22/2011)
(12/23/2011)
(7/1/2013)
(1/2/2013)
(6/11/2012)
(12/20/2011)
(11/4/2013)
(6/3/2016)
(1/13/2012)
(10/8/2015)
(1/25/2012)
(12/19/2011)
(1/29/2013)
(3/5/2015)
(6/4/2012)
(12/22/2011)
(8/14/2023)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/15/2009
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
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