Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Todd? Claim Your ProfileTodd Charles Kornguth is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. He is a veteran financial professional with over 20 years of experience. Todd has worked for several well-known firms in the industry, including Citigroup Global Markets Inc., Schroder & Co. Inc. and Interfirst Capital Corporation. His experience includes a wide range of services including portfolio management, investment advisory, securities brokerage, and financial planning. Todd is licensed to conduct business in many states throughout the United States. He holds the following FINRA licenses: Series 7, Series 63, Series 65 and SIE.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
11/30/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SANTA MONICA CA)
CA
05/27/2000 - 04/15/2009
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
NY
09/23/1999 - 05/27/2000
SCHRODER & CO. INC. (NEW YORK NY)
CA
03/17/1997 - 10/13/1998
INTERFIRST CAPITAL CORPORATION (LOS ANGELES CA)
IA
Issued 09/09/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/04/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/14/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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