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Detailed Report
TODD CHARLES WELLER
CRD#: 2777375
IA
Investment Adviser
B
Broker
STEPHENSCRD#: 3496 Ocean City, MD
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2024 - Present (<1 year)BSTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)2005 - 2014 (8 years)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)2002 - 2005 (3 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1997 - 1998 (<1 year)BALEX. BROWN & SONS INCORPORATED (CRD# 20)1997 - 1997 (<1 year)
License(s)

State Registrations

B
Arkansas 11/26/2024
IA
Maryland 11/26/2024
B
Maryland 11/26/2024

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STEPHENS (CRD#:3496)
Ocean City, MD
Registered with this firm since 11/26/2024
B
STEPHENS (CRD#:3496)
Ocean City, MD
Registered with this firm since 11/11/2024
Previous Registration(s)
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B
 12/01/2005 - 03/19/2014 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) BALTIMORE, MD
B
 01/02/2002 - 12/01/2005 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
B
 12/08/1997 - 08/06/1998 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 01/03/1997 - 08/25/1997 ALEX. BROWN & SONS INCORPORATED (CRD#:20)
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.