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1 Vanderbilt Avenue 23Rd Floor, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ND | RA | APPROVED | 2026-01-15 |
| AK | RA | APPROVED | 2026-01-05 |
| NJ | RA | APPROVED | 2025-12-23 |
| ME | RA | APPROVED | 2025-12-22 |
| AZ | RA | APPROVED | 2025-12-19 |
| FL | RA | APPROVED | 2025-12-19 |
| AR | RA | APPROVED | 2025-12-18 |
| MI | RA | APPROVED | 2025-12-18 |
| NV | RA | APPROVED | 2025-12-18 |
| NH | RA | APPROVED | 2025-12-18 |
| NM | RA | APPROVED | 2025-12-18 |
| RI | RA | APPROVED | 2025-12-18 |
| VA | RA | APPROVED | 2025-12-18 |
| AL | RA | APPROVED | 2025-12-17 |
| IN | RA | APPROVED | 2025-12-17 |
| KS | RA | APPROVED | 2025-12-17 |
| LA | RA | APPROVED | 2025-12-17 |
| SD | RA | APPROVED | 2025-12-17 |
| VT | RA | APPROVED | 2025-12-17 |
| WV | RA | APPROVED | 2025-12-17 |
| WY | RA | APPROVED | 2025-12-17 |
| WI | RA | APPROVED | 2025-12-16 |
| UT | RA | APPROVED | 2025-12-12 |
| OH | RA | APPROVED | 2025-12-11 |
| OR | RA | APPROVED | 2025-12-11 |
| CA | RA | APPROVED | 2025-12-10 |
| CO | RA | APPROVED | 2025-12-10 |
| CT | RA | APPROVED | 2025-12-10 |
| DE | RA | APPROVED | 2025-12-10 |
| HI | RA | APPROVED | 2025-12-10 |
| ID | RA | APPROVED | 2025-12-10 |
| IL | RA | APPROVED | 2025-12-10 |
| IA | RA | APPROVED | 2025-12-10 |
| KY | RA | APPROVED | 2025-12-10 |
| MD | RA | APPROVED | 2025-12-10 |
| MN | RA | APPROVED | 2025-12-10 |
| MS | RA | APPROVED | 2025-12-10 |
| MO | RA | APPROVED | 2025-12-10 |
| MT | RA | APPROVED | 2025-12-10 |
| NE | RA | APPROVED | 2025-12-10 |
| NY | RA | APPROVED | 2025-12-10 |
| NC | RA | APPROVED | 2025-12-10 |
| OK | RA | APPROVED | 2025-12-10 |
| PA | RA | APPROVED | 2025-12-10 |
| SC | RA | APPROVED | 2025-12-10 |
| TX | RA | APPROVED | 2025-12-10 |
| WA | RA | APPROVED | 2025-12-10 |
Branch Locations
111 Main Street, Burlington, VT 05401 • United States
1919 Gallows Road 2Nd Floor, Vienna, VA 22182 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Td Private Client Wealth Llc | Burlington | VT | 10/2012 | 08/2025 |
| Wells Fargo Clearing Services, Llc ( | New York | NY | 09/2025 | 10/2025 |
| Td Bank N.A. | Burlington | VT | 10/2025 | Present |
| Td Private Client Wealth Llc | Burlington | VT | 10/2025 | Present |
National Risk Retention Association Non investment related activity 16133 Ventura Blvd., Suite 1055, Encino, CA 91436 National Trade Association Chair, Board of Directors Chair, Membership Committee November, 2020 7-10 Hours/Month 7 Hours/Month Facilitate meetings, lead the board, strong communication with Executive Director and Executive Committee, strategic direction International Center for Captive Insurance Eduction Non investment related 145 Pine Haven Shores, Suite 1137, Shelburne, VT 05482 International Trade Association Board of Director Member of Development Committee August 2023 2 Hours/Month 2 Hours/Month Strategic Oversight, Financial Governance, Communication with Executive Director, Risk Management Recreation Risk Retention Group Provides insurance for recreational activity to select members of group 27 Main Street, First Floor Burlington, VT 05401 Self-Insurance/Captive Board of Director Chair Investment Committee August 2023 1 hour/month Outside trading hours Strategic Oversight, Financial Governance, Communication with President, Risk Management
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-01-20 |
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