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Todd B. Parriott

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CRD#: 4663935
TP

Professional summary

Todd Burton Parriott was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Todd is a previously registered financial professional and started their career in finance in 2003. Prior to being barred, Todd had worked at 1 firm, which includes CM SECURITIES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Todd Burten Parriott

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 6, 2003 - January 11, 2012

CM SECURITIES, LLC

BD
CRD#: 127136
LAS VEGAS, NV

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/30/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/10/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/3/2003
General Securities Principal Examination

Current Firm

CS
CM SECURITIES, LLC
CM SECURITIES, LLC | CMC FINANCIAL SERVICES, INC.

CRD#: 127136 / SEC#: , 8-65961

BD
Terminated by SEC on 03/11/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 01/16/2009
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CM GROUP, LLCOWNER
PARRIOTT, TODD BURTONCHIEF EXECUTIVE OFFICER/CCO/CFO

Disclosures

Regulatory Event2
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CM SECURITIES, LLC

CRD#: 127136

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