Theodore Wozniak is a CFA-designated registered investment advisor, based in Wayne, PA, with 26 years of industry experience. Theodore is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Wayne, PA
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Theodore provides sales activities for American Beacon Advisors, an affiliate of Resolute Investment Distributors, Inc.
Employment History
Current Registrations
Resolute Investment Distributors, INC.Broker
October 2024 - Present · 2 yrs
Resolute Investment Distributors, INC.
October 2024 - Present · 2 yrs
American Beacon Advisors, INC.
October 2024 - Present · 2 yrs
Previous Registrations
Sei Investments Distribution CO.Broker
October 2018 - October 2024 · 6 yrs
Victory Capital Advisers, INC.Broker
August 2016 - October 2018 · 2 yrs 2 mos
Rs Funds Distributor LLCBroker
June 2014 - August 2016 · 2 yrs 2 mos
Park Avenue Securities LLCBroker
August 2011 - April 2014 · 2 yrs 8 mos
Guardian Investor Services LLCBroker
January 2009 - June 2014 · 5 yrs 5 mos
Planco Financial Services, LLCBroker
August 2004 - January 2009 · 4 yrs 5 mos
Lockwood Advisors INC
January 2004 - July 2004 · 6 mos
Pershing LLCBroker
December 2003 - July 2004 · 7 mos
Lockwood Financial Services, INC.Broker
May 2000 - December 2003 · 3 yrs 7 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.
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