Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Todd? Claim Your ProfileTodd Conroy Harper is a financial advisor currently registered with Smbc Nikko Securities America, Inc. Harper has over 17 years of experience in the financial services industry. Harper is registered with the Securities and Exchange Commission (SEC) and holds the following licenses: Series 3, Series 7, Series 24, and Series 63. Harper has been registered with the Financial Industry Regulatory Authority (FINRA) since 2006. Harper is registered to provide investment advice in all states of the United States.
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.
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.
1
2
NY
09/03/2024 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
CT
11/07/2006 - 09/11/2024
UBS SECURITIES LLC (STAMFORD CT)
BC
Issued 03/10/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/22/2017
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/03/2011
Series 3 - National Commodity Futures Examination
BC
Issued 11/06/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
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