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Mark Szwagulinski

Td Private Client Wealth LLC

Pompton Plains, NJ

Ramsey, NJ

CRD 2202270

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Employer firm

Td Private Client Wealth LLC CRD 164484

$8.57B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Td Private Client Wealth Llc

1 Vanderbilt Avenue 23Rd Floor, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
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
OrganizationCityStateFromTo
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
CodeExamDate
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

Nearby Firms

EDWARD JONES
J.P. MORGAN SECURITIES LLC
HIGHLAND FINANCIAL ADVISORS, LLC

Nearby Investors

James Martin Cramer
Don Santangelo
Maria Mark

Nearby Offices

EDWARD JONES · POMPTON PLAINS, NJ
J.P. MORGAN SECURITIES LLC · Pompton Plains, NJ
HIGHLAND FINANCIAL ADVISORS, LLC · RIVERDALE, NJ

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