Mark Szwagulinski

Td Private Client Wealth LLC

Pompton Plains, 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

Authority	Category	Status	Date
CT	RA	APPROVED	2025-09-24
NY	RA	APPROVED	2025-01-06
NJ	RA	APPROVED	2024-01-04

CT RA
APPROVED

Since 2025-09-24
NY RA
APPROVED

Since 2025-01-06
NJ RA
APPROVED

Since 2024-01-04

Branch Locations

115 Jackson Ave, Pompton Plains, NJ 07444 • United States

1100 Lake Street 3Rd Floor, Ramsey, NJ 07446 • 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

Organization	City	State	From	To
E*Trade Securites Llc	Morristown	NJ	11/2015	08/2023
E*Trade Capital Management Llc	Morristown	NJ	11/2015	08/2023
Morgan Stanley	Morristown	NJ	03/2023	08/2023
Td Bank N.A.	Ramsey	NJ	01/2024	Present
Td Private Client Wealth Llc	Ramsey	NJ	01/2024	Present
Unemployed	Morristown	NJ	08/2023	12/2023

11/2015 → 08/2023

E*Trade Securites Llc

Morristown, NJ
11/2015 → 08/2023

E*Trade Capital Management Llc

Morristown, NJ
03/2023 → 08/2023

Morgan Stanley

Morristown, NJ
01/2024 → Present

Td Bank N.A.

Ramsey, NJ
01/2024 → Present

Td Private Client Wealth Llc

Ramsey, NJ
08/2023 → 12/2023

Unemployed

Morristown, NJ

Previous Registrations

2009-09-10 → 2023-08-18

Harrisdirect Llc

Arlington, VA

Morristown, NJ

Morristown, NJ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-09-09
S63	Uniform Securities Agent State Law Examination	2007-05-03

S66 Uniform Combined State Law Examination

2009-09-09
S63 Uniform Securities Agent State Law Examination

2007-05-03

View on SEC IAPD

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Other Investors

James Martin Cramer

REED CHARLES FRAASA

BETH ELLEN BRADEN-CORN

JOHN PAUL BARBARY

GEORGE RICHARD BARNES

Other Offices

EDWARD JONES · POMPTON PLAINS, NJ

J.P. MORGAN SECURITIES LLC · Pompton Plains, NJ

HIGHLAND FINANCIAL ADVISORS, LLC · RIVERDALE, NJ

STATE FARM INVESTMENT MANAGEMENT CORP. · Wayne, NJ

LPL ENTERPRISE, LLC · RIVERDALE, NJ

STEWARD PARTNERS INVESTMENT ADVISORY, LLC · RIVERDALE, NJ

STEWARD PARTNERS INVESTMENT ADVISORY, LLC · RIVERDALE, NJ

CETERA INVESTMENT ADVISERS LLC · WAYNE, NJ

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