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Robert Defina

Td Private Client Wealth LLC

Marlton, NJ

Bernardsville, NJ

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Current Employers
Td Private Client Wealth Llc

1 Vanderbilt Avenue 23Rd Floor, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-10-01
NJ RA APPROVED 2022-07-13
  • FL RA
    APPROVED
    Since 2024-10-01
  • NJ RA
    APPROVED
    Since 2022-07-13

Branch Locations

336 Route 70 West 2Nd Floor, Marlton, NJ 08053 • United States

70 Morristown Road, Bernardsville, NJ 07924 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pnc Bank Red Bank NJ 03/2006 11/2020
Pnc Investments Llc Red Bank NJ 04/2015 12/2018
Well Fargo Bank, Na Colts Neck NJ 11/2020 07/2022
Wells Fargo Clearing Services, Llc Colts Neck NJ 11/2020 07/2022
Td Bank N.A. Bernardsville NJ 07/2022 Present
Td Private Client Wealth Llc Bernardsville NJ 07/2022 Present
  • 03/2006 → 11/2020
    Pnc Bank
    Red Bank, NJ
  • 04/2015 → 12/2018
    Pnc Investments Llc
    Red Bank, NJ
  • 11/2020 → 07/2022
    Well Fargo Bank, Na
    Colts Neck, NJ
  • 11/2020 → 07/2022
    Wells Fargo Clearing Services, Llc
    Colts Neck, NJ
  • 07/2022 → Present
    Td Bank N.A.
    Bernardsville, NJ
  • 07/2022 → Present
    Td Private Client Wealth Llc
    Bernardsville, NJ
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-08-27
S63 Uniform Securities Agent State Law Examination 2001-10-15
  • S66 Uniform Combined State Law Examination
    2015-08-27
  • S63 Uniform Securities Agent State Law Examination
    2001-10-15
Other Names
  • Bob Defina
  • Bob Defina
  • Robert L Defina
  • Robert Defina
  • Robert Louis Defina

View on SEC IAPD

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MORGAN STANLEY
CHARLES SCHWAB & CO., INC.
M FINANCIAL PLANNING SERVICES, INC
LPL FINANCIAL LLC

Other Investors

ALLISON TAYLOR CASEY
Douglass F Ergood, Jr
PAUL D WAMPLER
John Thomas Franchi
TREVOR CHARLES WAMPLER
DOUGLASS F ERGOOD
Frank Charles Midili
Jason McEvoy

Other Offices

JANNEY MONTGOMERY SCOTT LLC · MARLTON, NJ
LINCOLN INVESTMENT · MARLTON, NJ
WELLS FARGO CLEARING SERVICES, LLC · MARLTON, NJ
CITIZENS SECURITIES, INC. · MARLTON, NJ
MORGAN STANLEY · Marlton, NJ
CHARLES SCHWAB & CO., INC. · Marlton, NJ
M FINANCIAL PLANNING SERVICES, INC · MARLTON, NJ
LPL FINANCIAL LLC · MARLTON, NJ

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