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Steve Leming

Td Private Client Wealth LLC

Vienna, VA

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
CA RA APPROVED 2026-05-29
KS RA APPROVED 2025-10-16
FL RA APPROVED 2025-10-07
CO RA APPROVED 2025-10-06
DE RA APPROVED 2025-10-06
MD RA APPROVED 2025-10-06
NY RA APPROVED 2025-10-06
PA RA APPROVED 2025-10-06
SC RA APPROVED 2025-10-06
NJ RA APPROVED 2024-11-08
  • CA RA
    APPROVED
    Since 2026-05-29
  • KS RA
    APPROVED
    Since 2025-10-16
  • FL RA
    APPROVED
    Since 2025-10-07
  • CO RA
    APPROVED
    Since 2025-10-06
  • DE RA
    APPROVED
    Since 2025-10-06
  • MD RA
    APPROVED
    Since 2025-10-06
  • NY RA
    APPROVED
    Since 2025-10-06
  • PA RA
    APPROVED
    Since 2025-10-06
  • SC RA
    APPROVED
    Since 2025-10-06
  • NJ RA
    APPROVED
    Since 2024-11-08

Branch Locations

1919 Gallows Road 2Nd Floor, Vienna, VA 22182 • 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
Penn Capital Management Company, Inc. Philadelphia PA 11/2011 10/2020
Foreside Fund Services, Llc Philadelphia PA 02/2015 10/2020
Td Private Client Wealth Marlton NJ 09/2024 Present
Radcliffe Capital Bala Cynwyd PA 12/2020 06/2024
Td Bank N.A. Marlton NJ 09/2024 Present
  • 11/2011 → 10/2020
    Penn Capital Management Company, Inc.
    Philadelphia, PA
  • 02/2015 → 10/2020
    Foreside Fund Services, Llc
    Philadelphia, PA
  • 09/2024 → Present
    Td Private Client Wealth
    Marlton, NJ
  • 12/2020 → 06/2024
    Radcliffe Capital
    Bala Cynwyd, PA
  • 09/2024 → Present
    Td Bank N.A.
    Marlton, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-10-08
S63 Uniform Securities Agent State Law Examination 2015-04-17
  • S66 Uniform Combined State Law Examination
    2024-10-08
  • S63 Uniform Securities Agent State Law Examination
    2015-04-17
Other Names
  • Steven R Leming

View on SEC IAPD

Other Firms

OSAIC WEALTH, INC.
CAPITOL PRIVATE WEALTH GROUP LLC
AMERIPRISE FINANCIAL SERVICES, LLC
PNC WEALTH MANAGEMENT LLC
RETIREMENT RESEARCHER, LLC
MCLEAN ASSET MANAGEMENT CORP.
KIRK CAPITAL ADVISORS LLC
ATEGRA CAPITAL MANAGEMENT, LLC

Other Investors

MARY ELIZABETH ELLISON
ROBERT BURTON LANK
AMIR EYAL
DANIEL JOHN WARD
Hunter John Leed
BENJAMIN PRUITT MELTON
PETER REISNER SHARPE
STEPHEN FRANKLIN STEWART

Other Offices

OSAIC WEALTH, INC. · VIENNA, VA
CAPITOL PRIVATE WEALTH GROUP LLC · VIENNA, VA
AMERIPRISE FINANCIAL SERVICES, LLC · VIENNA, VA
PNC WEALTH MANAGEMENT LLC · VIENNA, VA
RETIREMENT RESEARCHER, LLC · TYSONS, VA
MCLEAN ASSET MANAGEMENT CORP. · TYSONS, VA
KIRK CAPITAL ADVISORS LLC · VIENNA, VA
ATEGRA CAPITAL MANAGEMENT, LLC · VIENNA, VA

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