Todd J. Fries
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 Jeffrey Fries, who also goes by T.j. Fries, Tj Fries, Todd Jeffrey Fries, Todd Fries, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 2010. Todd had worked at 7 firms and has passed the Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2021 - January 11, 2023
HAMILTON CAPITAL
February 25, 2019 - November 24, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
February 25, 2019 - August 18, 2021
MUTUAL OF AMERICA SECURITIES LLC
October 30, 2017 - February 11, 2019
NATIONWIDE SECURITIES, LLC
October 11, 2012 - October 30, 2017
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 17, 2011 - July 13, 2011
NYLIFE SECURITIES LLC
October 11, 2010 - February 14, 2011
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
HAMILTON CAPITAL
CRD#: 109116 / SEC#: 801-54611
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
HAMILTON CAPITAL
CRD#: 109116 / SEC#: 801-54611
Contact information
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,076 |
| AUM (Assets Under Management) | $ 4,381,851,944 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 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.
