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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
NY RA APPROVED 2023-06-23
  • NY RA
    APPROVED
    Since 2023-06-23

Branch Locations

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

1 Vanderbilt Avenue 23Rd Floor, New York, NY 10017 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Scottrade Toms River NJ 04/2014 12/2016
Td Ameritrade, Inc. Allentown PA 02/2018 01/2021
Td Ameritrade Investment Management, Llc Omaha NE 02/2018 01/2021
Unemployed Bethlehem PA 01/2021 03/2021
Fidelity Investments Merrimack NH 04/2021 06/2023
Scottrade Easton PA 12/2016 02/2018
Td Private Client Wealth Llc New York NY 06/2023 Present
Td Bank N.A. New York NY 06/2023 Present
  • 04/2014 → 12/2016
    Scottrade
    Toms River, NJ
  • 02/2018 → 01/2021
    Td Ameritrade, Inc.
    Allentown, PA
  • 02/2018 → 01/2021
    Td Ameritrade Investment Management, Llc
    Omaha, NE
  • 01/2021 → 03/2021
    Unemployed
    Bethlehem, PA
  • 04/2021 → 06/2023
    Fidelity Investments
    Merrimack, NH
  • 12/2016 → 02/2018
    Scottrade
    Easton, PA
  • 06/2023 → Present
    New York, NY
  • 06/2023 → Present
    Td Bank N.A.
    New York, NY
Previous Registrations
  • 2021-07-12 → 2023-06-22
    Fidelity Personal And Workplace Advisors
    Merrimack, NH
  • 2018-02-27 → 2021-01-11
    Td Ameritrade, Inc.
    Allentown, PA
    Radnor, PA
    Princeton, NJ
  • 2018-02-26 → 2020-12-31
    Td Ameritrade Investment Management, Llc
    Omaha, NE
    Allentown, PA
    Radnor, PA
    Princeton, NJ
  • 2016-11-29 → 2018-02-26
    Scottrade Investment Management
    Saint Louis, MO
  • 2009-12-03 → 2014-04-09
    Td Ameritrade, Inc.
    Princeton, NJ
  • 2009-12-03 → 2014-04-09
    Td Ameritrade Investment Management, Llc
    Princeton, NJ
Other Businesses

Name of Outside Business:rental property; Investment Related:No; Address of Outside Business:lanoka harbor; Nature of Outside Business:Rental Property; Position:owner of property; Start Date:4/1/2015; Hours per month: 0-10; Hours per month during securities trading hours: No; Description of Duties: I own a property and rent it out at 216 walnut drive in Lanoka Harbor Nj 08734. I signed a lease agreement back in april of 2015 and have renewed yearly till 2021.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-11-20
  • S66 Uniform Combined State Law Examination
    2009-11-20

View on SEC IAPD

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