Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Todd? Claim Your ProfileTodd Christopher Wiggins has over 29 years of experience in the financial services industry. Todd is currently registered with Oppenheimer & CO. INC. in Texas, Georgia, and Arizona. Todd has previously worked for firms such as UBS Financial Services Inc., Morgan Stanley, Citigroup Global Markets Inc., The Robinson-Humphrey Company, LLC, Marquis Investments, L.L.C., Equitable Distributors, Inc., Hibernia Investment Securities Inc., and G Equity Investment Group Ltd. Todd has a wide range of experience and certifications including Series 3, 7, 8, 9, 10, 24, 52, 53, 63, 65, 99, and SIE exams. Todd specializes in providing investment advice and financial planning to individuals, businesses, retirement plans, and pooled investment vehicles.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
TX
07/23/2024 - Present
Oppenheimer & Co. Inc. (DALLAS TX)
AZ
05/02/2014 - 05/06/2016
UBS FINANCIAL SERVICES INC. (SCOTTSDALE AZ)
AZ
06/01/2009 - 05/14/2014
MORGAN STANLEY (SCOTTSDALE AZ)
AZ
07/15/1998 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SCOTTSDALE AZ)
GA
12/08/2000 - 01/02/2002
THE ROBINSON-HUMPHREY COMPANY, LLC (ATLANTA GA)
NA
03/21/1997 - 07/16/1998
MARQUIS INVESTMENTS, L.L.C.
NC
12/24/1996 - 01/09/1997
EQUITABLE DISTRIBUTORS, INC. (CHARLOTTE NC)
LA
05/17/1994 - 02/06/1996
HIBERNIA INVESTMENT SECURITIES INC. (NEW ORLEANS LA)
GA
08/18/1993 - 05/16/1994
G EQUITY INVESTMENT GROUP LTD. (ATLANTA GA)
IA
Issued 10/26/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 8/20/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/12/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 3/18/1998
Series 53 - Municipal Securities Principal Examination
BC
Issued 5/16/1997
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 1/2/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/19/2000
Series 3 - National Commodity Futures Examination
BC
Issued 8/17/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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