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Todd W. Bauman

Some features on this profile are disabled
CRD#: 6338082
TB

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 William Bauman, who also goes by Todd William Baumann, was a registered financial professional .

Todd is a previously registered financial professional and started their career in finance in 2014. Todd had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Todd William Baumann

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 11, 2017 - June 7, 2018

TD FINANCIAL PRODUCTS LLC

BD
CRD#: 154838
CHICAGO, IL
Past

July 17, 2014 - March 10, 2017

WINTRUST INVESTMENTS LLC

BD
CRD#: 875
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/25/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/7/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/17/2014
General Securities Representative Examination

Current Firm

TF
TD FINANCIAL PRODUCTS LLC
HEADLANDS GLOBAL MARKETS, LLC | TD SECURITIES AUTOMATED TRADING LLC | TD FINANCIAL PRODUCTS LLC | HEADLANDS TECH GLOBAL MARKETS, LLC | HEADLANDS TECH GLOBAL MARKETS

CRD#: 154838 / SEC#: , 8-68677

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
71 S. Wacker Drive Suite 550, Chicago, IL 60606
Mailing Address
71 S. Wacker Drive Suite 550, Chicago, IL 60606
Phone number
(312) 601-8643
Established
Delaware since 07/21/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TORONTO DOMINION HOLDINGS (U.S.A.) INC.OWNER
BROADBERY, MICHAELCHIEF COMPLIANCE OFFICER6947899
GIBSON, GLENNCHIEF EXECUTIVE OFFICER5659024
MANNION, MARTINCO-HEAD OF ELECTRONIC TRADING4830837
ORTIZ, JORGE LUISCHIEF FINANCIAL OFFICER2725922
PETROU, CHRISTINA ACHIEF OPERATING OFFICER4007468
SCHRAGER, MATTHEWCO-HEAD OF ELECTRONIC TRADING6488305
WILSON, KEVIN KEITHFINANCIAL & OPERATIONS PRINCIPAL5437711

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.

Company Information

TD FINANCIAL PRODUCTS LLC

CRD#: 154838

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