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Gavin James Parker

Td Private Client Wealth LLC

Portland, ME

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
ME RA APPROVED 2023-06-26
  • ME RA
    APPROVED
    Since 2023-06-26

Branch Locations

1 Portland Square, Portland, ME 04101 • United States

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
Citizens Securities, Inc. Fort Washington PA 12/2020 06/2023
Td Ameritrade Radnor PA 04/2016 12/2020
Td Bank N.A. Portland ME 06/2023 Present
Td Private Client Wealth Llc Portland ME 06/2023 Present
Previous Registrations
  • 2021-01-19 → 2023-06-05
    Citizens Securities, Inc.
    Conshohocken, PA
  • 2013-11-27 → 2021-01-11
    Td Ameritrade, Inc.
    Marlton, NJ
    West Marlton, NJ
    Marlton, NJ
    Radnor, PA
  • 2013-11-27 → 2020-12-31
    Td Ameritrade Investment Management, Llc
    Marlton, NJ
    Marlton, NJ
    West Marlton, NJ
    Radnor, PA
  • 2004-10-20 → 2005-02-16
    Banc Of America Investment Services, Inc.
    Rochester, NY
  • 2004-06-10 → 2004-10-20
    Quick & Reilly, Inc.
    Rochester, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-11-26
S65 Uniform Investment Adviser Law Examination 1998-06-01
S63 Uniform Securities Agent State Law Examination 1991-03-04
  • S66 Uniform Combined State Law Examination
    2013-11-26
  • S65 Uniform Investment Adviser Law Examination
    1998-06-01
  • S63 Uniform Securities Agent State Law Examination
    1991-03-04
Other Names
  • Gavin James Parker
  • Gavin Parker

View on SEC IAPD

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