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1 Vanderbilt Avenue 23Rd Floor, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2020-08-17 |
| NC | RA | APPROVED | 2020-08-17 |
| SC | RA | APPROVED | 2020-03-19 |
Branch Locations
3450 Clark Road, Sarasota, FL 34231 • United States
75 Port City Landing Ste 210, Mount Pleasant, SC 29464 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Td Private Client Wealth Llc | Columbia | SC | 06/2016 | 05/2019 |
| Td Bank N.A. | Columbia | SC | 06/2016 | 05/2019 |
| First Citizens Bank | Charleston | SC | 05/2019 | 02/2020 |
| First Citizens Investor Services | Raleigh | NC | 05/2019 | 02/2020 |
| Td Bank N.A. | Charleston | SC | 03/2020 | Present |
| Td Private Client Wealth Llc | Charleston | SC | 03/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-08-01 |
| S65 | Uniform Investment Adviser Law Examination | 1999-04-05 |
| S63 | Uniform Securities Agent State Law Examination | 1997-10-08 |
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