Todd J. Schlichting

INVESTMENT DISTRIBUTORS

Covington, KY 41011

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CRD#: 727707

Professional summary

Todd John Schlichting is a registered financial professional currently at INVESTMENT DISTRIBUTORS, INC. located in Covington, Kentucky.

Todd is registered as a RR (Registered Representative) and started their career in finance in 1981. Todd has worked at 7 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

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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

Current

November 15, 2024 - Present

INVESTMENT DISTRIBUTORS, INC.

Office #1: 50 E Rivercenter Blvd Suite 1600, Covington, KY 41011

CRD#: 35490

Covington, KY

Past

April 18, 2012 - November 15, 2024

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

PEARL CITY, IL

Past

August 3, 2010 - November 28, 2011

ASSOCIATED FINANCIAL SERVICES, INC.

CRD#: 1121

FREEPORT, IL

Past

September 8, 2009 - July 28, 2010

LPL FINANCIAL LLC

CRD#: 6413

FREEPORT, IL

Past

May 19, 2000 - September 8, 2009

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

FREEPORT, IL

Past

April 13, 1981 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

April 13, 1981 - May 12, 2000

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(11/15/2024)

Montana
(11/15/2024)

Texas
(11/15/2024)

Washington
(11/15/2024)

Wisconsin
(11/15/2024)

Exams

State Security Law Exam

Series 63

Date: 10/29/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 8/11/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 4/9/1981

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

INVESTMENT DISTRIBUTORS, INC.

CRD#: 35490 / SEC#: , 8-46802

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

2801 Highway 280 South, Birmingham, AL 35223

Mailing Address

2801 Highway 280 South, Birmingham, AL 35223

Phone number

(205) 868-3073

Established

Tennessee since 08/30/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
PROTECTIVE LIFE CORPORATION	PARENT COMPANY
CARLSON, MARTHA L	DESIGNATED RESPONSIBLE LICENSED PRODUCER	2731502
COFFMAN, BENJAMIN PAUL	CHIEF FINANCIAL OFFICER	6738662
COLLAZO, KIMBERLY	ASSISTANT SECRETARY	8075061
CREUTZMANN, SCOTT EMIL	DIRECTOR	5351383
LANE, JAMIE LAURA	DIRECTOR	5779720
LEE, FELICIA MALLOCH	SECRETARY	7498538
MCCRELESS, KEVIN LUCIUS	CHIEF COMPLIANCE OFFICER	5180100
MORSCH, LETITIA A	DIRECTOR & ASSISTANT SECRETARY	5133531
TENNENT, RAYBURN EDWARD	SR ANALYST FINANCIAL REPORTING	6245099
WAGNER, JAMES CARL JR	PRESIDENT & DIRECTOR	4261922

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Todd J. Schlichting

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Todd John Schlichting's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

ASSOCIATED FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

WATERSTONE FINANCIAL GROUP, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/29/1981

SIE

Date: 10/1/2018

Series 22

Date: 8/11/1983

Series 6

Date: 4/9/1981

FINRA

Current Firm

INVESTMENT DISTRIBUTORS, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INVESTMENT DISTRIBUTORS, INC.

TRUST BUT VERIFY

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