Todd Hagan Smalling
Professional Summary
Todd Hagan Smalling, who also goes by Todd Smalling, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Todd Hagan Smalling, Todd Smalling
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
17 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BASS TRADING, LLC | BTIG, LLC | BTIG ELECTRONIC TRADING | BAYPOINT TRADING, LLC
Contact Information
Main Address
350 Bush Street 9th Floor, San Francisco, CA 94104Mailing Address
350 Bush Street 9th Floor, San Francisco, CA 94104Phone Number
(415) 248-2200Established
Delaware since 06/05/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
12Civil Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Dec 2009SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Todd Hagan Smalling's CRS (Customer Relationship Summary).
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