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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
FL RA APPROVED 2026-01-29
NH RA APPROVED 2024-09-06
VT RA APPROVED 2024-09-05
ME RA APPROVED 2023-09-18
CT RA APPROVED 2022-02-21
MA RA APPROVED 2021-08-31
  • FL RA
    APPROVED
    Since 2026-01-29
  • NH RA
    APPROVED
    Since 2024-09-06
  • VT RA
    APPROVED
    Since 2024-09-05
  • ME RA
    APPROVED
    Since 2023-09-18
  • CT RA
    APPROVED
    Since 2022-02-21
  • MA RA
    APPROVED
    Since 2021-08-31

Branch Locations

549 Center Street, Ludlow, MA 01056 • United States

203 Trumbull Street, Hartford, CT 06103 • 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 Bank N.A. Amherst MA 04/2021 Present
Td Bank N.A. Northampton MA 05/2010 04/2021
Td Private Client Wealth Llc Amherst MA 04/2021 Present
  • 04/2021 → Present
    Td Bank N.A.
    Amherst, MA
  • 05/2010 → 04/2021
    Td Bank N.A.
    Northampton, MA
  • 04/2021 → Present
    Amherst, MA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2025-05-05
S65 Uniform Investment Adviser Law Examination 2021-06-13
  • S63 Uniform Securities Agent State Law Examination
    2025-05-05
  • S65 Uniform Investment Adviser Law Examination
    2021-06-13

View on SEC IAPD

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