Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Todd? Claim Your ProfileTodd Locke Thompson is a financial advisor with over 30 years of experience in the industry. Todd is currently registered with Wells Fargo Clearing Services, LLC and has also held positions with Tower Square Securities, Inc., Hartford Investment Financial Services, LLC, Hartford Securities Distribution Company, Inc., Hartford Equity Sales Company Inc., Transamerica Financial Resources, Inc., BANC OF AMERICA INVESTMENT SERVICES, INC., NATIONSSECURITIES, SunTrust Securities, Inc., and PFS INVESTMENTS INC.. Todd holds a number of licenses and certifications including Series 6, 7, 9, 10, 24, 26, 53, 63 and 65, as well as the SIE. Todd specializes in providing financial planning, investment consulting, portfolio management services to individuals, businesses, and institutional clients.
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.
Investment consulting services to institutional clients
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
MO
10/21/2005 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
CA
08/27/2004 - 07/05/2005
TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)
PA
01/18/2001 - 08/13/2004
HARTFORD INVESTMENT FINANCIAL SERVICES, LLC (WAYNE PA)
CT
01/18/2001 - 08/13/2004
HARTFORD SECURITIES DISTRIBUTION COMPANY, INC. (HARTFORD CT)
CT
11/28/2000 - 08/13/2004
HARTFORD EQUITY SALES COMPANY INC. (HARTFORD CT)
CA
12/06/1999 - 11/27/2000
TRANSAMERICA FINANCIAL RESOURCES, INC. (LOS ANGELES CA)
MA
01/01/1998 - 11/03/1999
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NA
07/02/1996 - 01/01/1998
NATIONSSECURITIES
GA
03/24/1995 - 06/28/1996
SUNTRUST SECURITIES, INC. (ATLANTA GA)
GA
06/24/1992 - 02/24/1995
PFS INVESTMENTS INC. (DULUTH GA)
IA
Issued 04/04/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/18/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/31/2003
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/08/2000
Series 4 - Registered Options Principal Examination
BC
Issued 06/11/1996
Series 24 - General Securities Principal Examination
BC
Issued 09/30/1993
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/27/1996
Series 7 - General Securities Representative Examination
BC
Issued 06/23/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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