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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
LA RA APPROVED 2026-06-02
WY RA APPROVED 2026-05-28
NV RA APPROVED 2024-09-25
DC RA APPROVED 2023-12-21
MD RA APPROVED 2023-12-21
MI RA APPROVED 2023-12-21
SC RA APPROVED 2023-12-21
VT RA APPROVED 2023-12-21
KS RA APPROVED 2022-10-13
GA RA APPROVED 2022-04-13
AL RA APPROVED 2021-10-06
NY RA APPROVED 2021-08-19
AZ RA APPROVED 2021-02-19
UT RA APPROVED 2021-01-25
MA RA APPROVED 2019-02-11
NC RA APPROVED 2019-02-04
OH RA APPROVED 2019-02-04
TX RA APPROVED 2019-02-04
VA RA APPROVED 2019-02-04
NM RA APPROVED 2018-09-24
DE RA APPROVED 2017-02-15
RI RA APPROVED 2014-10-17
CT RA APPROVED 2014-08-13
IN RA APPROVED 2014-05-16
NJ RA APPROVED 2013-09-25
CO RA APPROVED 2013-09-23
FL RA APPROVED 2013-08-29
PA RA APPROVED 2013-08-29
CA RA APPROVED 2013-08-28
IL RA APPROVED 2013-08-25
  • LA RA
    APPROVED
    Since 2026-06-02
  • WY RA
    APPROVED
    Since 2026-05-28
  • NV RA
    APPROVED
    Since 2024-09-25
  • DC RA
    APPROVED
    Since 2023-12-21
  • MD RA
    APPROVED
    Since 2023-12-21
  • MI RA
    APPROVED
    Since 2023-12-21
  • SC RA
    APPROVED
    Since 2023-12-21
  • VT RA
    APPROVED
    Since 2023-12-21
  • KS RA
    APPROVED
    Since 2022-10-13
  • GA RA
    APPROVED
    Since 2022-04-13
  • AL RA
    APPROVED
    Since 2021-10-06
  • NY RA
    APPROVED
    Since 2021-08-19
  • AZ RA
    APPROVED
    Since 2021-02-19
  • UT RA
    APPROVED
    Since 2021-01-25
  • MA RA
    APPROVED
    Since 2019-02-11
  • NC RA
    APPROVED
    Since 2019-02-04
  • OH RA
    APPROVED
    Since 2019-02-04
  • TX RA
    APPROVED
    Since 2019-02-04
  • VA RA
    APPROVED
    Since 2019-02-04
  • NM RA
    APPROVED
    Since 2018-09-24
  • DE RA
    APPROVED
    Since 2017-02-15
  • RI RA
    APPROVED
    Since 2014-10-17
  • CT RA
    APPROVED
    Since 2014-08-13
  • IN RA
    APPROVED
    Since 2014-05-16
  • NJ RA
    APPROVED
    Since 2013-09-25
  • CO RA
    APPROVED
    Since 2013-09-23
  • FL RA
    APPROVED
    Since 2013-08-29
  • PA RA
    APPROVED
    Since 2013-08-29
  • CA RA
    APPROVED
    Since 2013-08-28
  • IL RA
    APPROVED
    Since 2013-08-25

Branch Locations

1 Vanderbilt Avenue 23Rd Floor, New York, NY 10017 • 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
Td Private Client Wealth Llc Ramsey NJ 08/2013 Present
Td Bank Na Ramsey NJ 08/2013 Present
Previous Registrations
  • 2008-10-21 → 2013-08-22
    New York, NY
    New York City, NY
    New York, NY
    New York, NY
  • 2004-10-20 → 2008-10-21
    Banc Of America Investment Services, Inc.
    New York, NY
    New York, NY
  • 2004-06-04 → 2004-10-20
    Quick & Reilly, Inc.
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-06-03
S63 Uniform Securities Agent State Law Examination 1996-05-28
  • S65 Uniform Investment Adviser Law Examination
    2004-06-03
  • S63 Uniform Securities Agent State Law Examination
    1996-05-28
Designations
Other Names
  • Tony Santos

View on SEC IAPD

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