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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
NY RA APPROVED 2026-02-04
NJ RA APPROVED 2019-02-01
  • NY RA
    APPROVED
    Since 2026-02-04
  • NJ RA
    APPROVED
    Since 2019-02-01

Branch Locations

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

Merrick, NY • 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 Private Client Wealth Llc New York NY 07/2016 Present
Td Bank N.A. New York NY 07/2016 07/2017
Td Private Client Wealth Llc New York NY 01/2019 Present
Previous Registrations
  • 2016-07-20 → 2017-07-20
    New York, NY
    New York, NY
  • 2012-02-10 → 2016-06-10
    Fort Mill, SC
    Bridgewater, NJ
    New York, NY
  • 2010-07-08 → 2011-10-03
    Chase Investment Services Corp.
    Great Neck, NY
    Great Neck, NY
    Greenvale, NY
    Roslyn, NY
    Port Washington, NY
    Roslyn Heights, NY
    Glen Cove, NY
    Great Neck, NY
    Great Neck, NY
    Oceanside, NY
    Freeport, NY
    Merrick, NY
    Rockvile Center, NY
    Manhasset, NY
    Port Washington, NY
    Jericho, NY
    Rockville Centre, NY
    Baldwin, NY
    Baldwin, NY
    Manhassett, NY
    Hempstead, NY
    Carle Place, NY
    Oceanside, NY
    Long Beach, NY
    Long Beach, NY
    Baldwin, NY
    Freeport, NY
    Island Park, NY
    Carle Place, NY
    Merrick, NY
    Bellerose, NY
    Merrick, NY
    New Hyde Park, NY
    Rockville Centre, NY
    Stewart Manor, NY
    Baldwin, NY
    Freeport, NY
    Freeport, NY
    Garden City, NY
    Garden City, NY
    Garden City Park, NY
    Hempstead, NY
    Hewlett, NY
    Malverne, NY
    Valley Stream, NY
    Hempstead, NY
    North Bellmore, NY
    Long Beach, NY
    Merrick, NY
    West Hempstead, NY
    Franklin Square, NY
    Franklin Square, NY
    Mineola, NY
    Mineola, NY
    New Hyde Park, NY
    Baldwin, NY
    Baldwin, NY
    Bellmore, NY
    Hewlett, NY
    Island Park, NY
    Oceanside, NY
    Oceanside, NY
    Rockvile Center, NY
    Williston Park, NY
    Mineola, NY
    Long Beach, NY
  • 2007-06-05 → 2010-07-01
    Capital One Financial Advisors Llc
    Melville, NY
  • 2004-01-15 → 2005-07-25
    Capital One Financial Advisors Llc
    Bayside, NY
  • 2004-01-15 → 2004-01-28
    Essex National Securities, Llc
    Lake Success, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-09
S63 Uniform Securities Agent State Law Examination 1996-12-06
  • S65 Uniform Investment Adviser Law Examination
    1999-12-09
  • S63 Uniform Securities Agent State Law Examination
    1996-12-06

View on SEC IAPD

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