Stephen Bornet

Employer firm

Td Private Client Wealth LLC CRD 164484

$8.57B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2011 → 01/2019
  Td Ameritrade
  Stamford, CT
• 01/2019 → 08/2023
  E*Trade Securities Llc
  New York, NY
• 01/2019 → 08/2023
  E*Trade Capital Management Llc
  New York, NY
• 03/2023 → 08/2023
  Morgan Stanley
  New York, NY
• 10/2023 → Present
  Td Private Client Wealth Llc
  Melville, NY
• 10/2023 → Present
  Td Bank N.A.
  Melville, NY

Previous Registrations

• 2019-01-29 → 2023-08-21
  Harrisdirect Llc
  New York, NY
  Arlington, VA
  New York, NY
  New York, NY
• 2012-08-15 → 2019-01-03
  Td Ameritrade, Inc.
  Stamford, CT
  New York, NY
• 2012-08-15 → 2019-01-03
  Td Ameritrade Investment Management, Llc
  Stamford, CT
  New York, NY

Other Businesses

1. Name of Outside Business:Minor Issues; 2. Investment Related:No; 3. Address of Outside Business:New York, NY; 4. Nature of Outside Business:Music; 5. Position:Lead Guitar; 6. Start Date:5/13/2017; 7. Hours per month: 10; 8. Hours per month during securities trading hours: 0; 9. Duties: Minor Issues is a rock cover band playing songs from 1960s-today. I play guitar and sing background vocals

Exams

• S66 Uniform Combined State Law Examination
  2012-08-10
• S63 Uniform Securities Agent State Law Examination
  2008-01-11

Other Names

• Stephen Folwell Bornet
• Stephen Folwell Bornet