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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 2026-04-17
NJ RA APPROVED 2025-06-02
NY RA APPROVED 2024-11-04
  • FL RA
    APPROVED
    Since 2026-04-17
  • NJ RA
    APPROVED
    Since 2025-06-02
  • NY RA
    APPROVED
    Since 2024-11-04

Branch Locations

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

8206 Fifth Avenue, Brooklyn, NY 11209 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Hsbc Securities(Usa) Inc Brooklyn NY 04/2016 11/2017
Hsbc Bank Usa, N.A. New York NY 08/2016 11/2017
First Standard Financial Company New York NY 01/2018 06/2019
Cetera Financial Specialists Llc Schaumburg IL 06/2019 10/2024
Cetera Investment Advisers Llc Schaumburg IL 06/2019 10/2024
Mf Limitless Llc Staten Island NY 10/2020 Present
Td Bank N.A. Brooklyn NY 10/2024 Present
Td Private Client Wealth Llc Brooklyn NY 10/2024 Present
  • 04/2016 → 11/2017
    Hsbc Securities(Usa) Inc
    Brooklyn, NY
  • 08/2016 → 11/2017
    Hsbc Bank Usa, N.A.
    New York, NY
  • 01/2018 → 06/2019
    First Standard Financial Company
    New York, NY
  • 06/2019 → 10/2024
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 06/2019 → 10/2024
    Schaumburg, IL
  • 10/2020 → Present
    Mf Limitless Llc
    Staten Island, NY
  • 10/2024 → Present
    Td Bank N.A.
    Brooklyn, NY
  • 10/2024 → Present
    Brooklyn, NY
Previous Registrations
  • 2019-06-24 → 2024-10-28
    Staten Island, NY
  • 2013-12-04 → 2017-11-29
    New York, NY
    Brooklyn, NY
    Staten Island, NY
    Staten Island, NY
    Brooklyn, NY
    Brooklyn, NY
  • 2011-08-16 → 2013-10-21
    Capital One Financial Advisors Llc
    Melville, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-10-31
S65 Uniform Investment Adviser Law Examination 1998-10-05
S63 Uniform Securities Agent State Law Examination 1993-05-21
  • S66 Uniform Combined State Law Examination
    2017-10-31
  • S65 Uniform Investment Adviser Law Examination
    1998-10-05
  • S63 Uniform Securities Agent State Law Examination
    1993-05-21

View on SEC IAPD

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