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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
SC RA APPROVED 2026-04-22
  • SC RA
    APPROVED
    Since 2026-04-22

Branch Locations

200 Carolina Point Parkway 4Th Floor, Greenville, SC 29607 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Investment Services Llc Saint Cloud MN 01/2013 12/2022
Cetera Advisors Llc Denver CA 01/2013 12/2022
Cetera Advisor Networks Llc El Segundo CA 01/2013 12/2022
Cetera Financial Specialists Llc Schaumburg IL 01/2016 12/2022
Girard Securities, Inc. San Diego CA 01/2016 12/2022
Investors Capital Corp. Lynnfield MA 01/2016 11/2016
First Allied Securities, Inc. San Diego CA 01/2016 09/2022
Legend Equities Corporation Palm Beach Gardens FL 01/2016 12/2016
Summit Brokerage Services, Inc. Boca Raton FL 01/2016 12/2019
Vsr Financial Services, Inc. Overland Park KS 01/2016 11/2016
United Planners Scottsdale AZ 03/2023 12/2024
J.W. Cole Financial, Inc. Tampa FL 02/2026 02/2026
J.W. Cole Advisors, Inc. Tampa FL 02/2026 02/2026
Unemployed Panama City FL 12/2024 02/2026
Gwn Securities Inc Palm Beach Gardens FL 02/2026 03/2026
Td Bank N.A. Greenville SC 04/2026 Present
Td Private Client Wealth Llc Greenville SC 04/2026 Present
  • 01/2013 → 12/2022
    Cetera Investment Services Llc
    Saint Cloud, MN
  • 01/2013 → 12/2022
    Cetera Advisors Llc
    Denver, CA
  • 01/2013 → 12/2022
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 01/2016 → 12/2022
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 01/2016 → 12/2022
    Girard Securities, Inc.
    San Diego, CA
  • 01/2016 → 11/2016
    Investors Capital Corp.
    Lynnfield, MA
  • 01/2016 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 01/2016 → 12/2016
    Legend Equities Corporation
    Palm Beach Gardens, FL
  • 01/2016 → 12/2019
    Summit Brokerage Services, Inc.
    Boca Raton, FL
  • 01/2016 → 11/2016
    Vsr Financial Services, Inc.
    Overland Park, KS
  • 03/2023 → 12/2024
    United Planners
    Scottsdale, AZ
  • 02/2026 → 02/2026
    J.W. Cole Financial, Inc.
    Tampa, FL
  • 02/2026 → 02/2026
    J.W. Cole Advisors, Inc.
    Tampa, FL
  • 12/2024 → 02/2026
    Unemployed
    Panama City, FL
  • 02/2026 → 03/2026
    Palm Beach Gardens, FL
  • 04/2026 → Present
    Td Bank N.A.
    Greenville, SC
  • 04/2026 → Present
    Greenville, SC
Previous Registrations
  • 2026-03-17 → 2026-03-23
    Palm Beach Gardens, FL
    Palm Beach Gardens, FL
  • 2023-05-08 → 2025-01-10
    Tampa, FL
    Scottsdale, AZ
  • 2018-09-11 → 2022-12-17
    Cetera Wealth Services, Llc
    Atlanta, GA
    El Segundo, CA
  • 2010-09-13 → 2018-09-05
    Cetera Wealth Services, Llc
    Atlanta, GA
    El Segundo, CA
    Atlanta, GA
    Atlanta, GA
    Atlanta, GA
    El Segundo, CA
  • 2004-01-02 → 2010-02-01
    Atlanta, GA
    Atlanta, GA
  • 2003-07-21 → 2003-12-31
    Locust Street Securities, Inc.
    Des Moines, IA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-12-16
S63 Uniform Securities Agent State Law Examination 1996-08-19
  • S66 Uniform Combined State Law Examination
    2002-12-16
  • S63 Uniform Securities Agent State Law Examination
    1996-08-19

View on SEC IAPD

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