Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Todd? Claim Your ProfileTodd David Lubin is a registered representative of Morgan Stanley. Todd has been in the financial services industry for 18 years. Todd is currently registered with the state of California and Texas. Todd has previously been registered with other firms including Chase Investment Services Corp., WAMU Investments, Inc., UnionBanc Investment Services, LLC, Arque Capital, LTD., Charles Schwab & Co., Inc., AXA Advisors, LLC, American Express Financial Advisors Inc., IDS Life Insurance Company, and MFS Fund Distributors, Inc. Todd has also been registered as an Investment Advisor Representative with the state of California and Texas.
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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
CA
12/08/2022 - Present
Morgan Stanley (Rolling Hills Estates CA)
CA
05/02/2009 - 06/15/2010
CHASE INVESTMENT SERVICES CORP. (ROLLING HILLS CA)
CA
01/14/2009 - 05/02/2009
WAMU INVESTMENTS, INC. (ROLLING HILLS CA)
CA
05/22/2007 - 08/08/2007
UNIONBANC INVESTMENT SERVICES, LLC (SANTA MONICA CA)
AZ
02/08/2007 - 03/21/2007
ARQUE CAPITAL, LTD. (SCOTTSDALE AZ)
AZ
12/05/2005 - 08/22/2006
CHARLES SCHWAB & CO., INC. (PHOENIX AZ)
NY
07/27/2004 - 12/06/2005
AXA ADVISORS, LLC (NEW YORK NY)
MN
10/06/2003 - 06/10/2004
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
10/06/2003 - 01/09/2004
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
MA
03/24/2003 - 07/15/2003
MFS FUND DISTRIBUTORS, INC. (BOSTON MA)
BOTH
Issued 07/03/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/10/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 03/02/2007
Series 7 - General Securities Representative Examination
BC
Issued 03/22/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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