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Nicholas Christopher Rounds

Td Private Client Wealth LLC

Marlton, 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
TX RA APPROVED_RES 2023-07-19
CA RA APPROVED 2019-07-10
IL RA APPROVED 2019-06-17
VA RA APPROVED 2018-02-26
FL RA APPROVED 2015-09-14
NJ RA APPROVED 2013-12-12
PA RA APPROVED 2013-12-11
  • TX RA
    APPROVED_RES
    Since 2023-07-19
  • CA RA
    APPROVED
    Since 2019-07-10
  • IL RA
    APPROVED
    Since 2019-06-17
  • VA RA
    APPROVED
    Since 2018-02-26
  • FL RA
    APPROVED
    Since 2015-09-14
  • NJ RA
    APPROVED
    Since 2013-12-12
  • PA RA
    APPROVED
    Since 2013-12-11

Branch Locations

336 Route 70 West 2Nd Floor, Marlton, NJ 08053 • 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
Td Private Client Wealth Llc Haddon Township NJ 08/2015 Present
Td Bank, N.A. Haddon Township NJ 08/2015 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-02-21
  • S66 Uniform Combined State Law Examination
    2005-02-21
Other Names
  • Nick Rounds
  • Nick Rounds

View on SEC IAPD

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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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