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Cole Conner

Td Private Client Wealth LLC

Charlotte, NC

New York, NY

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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
NC RA APPROVED 2022-07-19
  • NC RA
    APPROVED
    Since 2022-07-19

Branch Locations

13024 Ballantyne Corporate Place, Charlotte, NC 28277 • United States

1 Vanderbilt Avenue 23Rd Floor, New York, NY 10017 • 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
Lpl Financial Charlotte NC 09/2012 07/2022
Td Bank N.A. Charlotte NC 07/2022 Present
Td Private Client Wealth Llc Charlotte NC 07/2022 Present
  • 09/2012 → 07/2022
    Lpl Financial
    Charlotte, NC
  • 07/2022 → Present
    Td Bank N.A.
    Charlotte, NC
  • 07/2022 → Present
    Td Private Client Wealth Llc
    Charlotte, NC
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-07-02
S63 Uniform Securities Agent State Law Examination 2006-08-25
  • S66 Uniform Combined State Law Examination
    2010-07-02
  • S63 Uniform Securities Agent State Law Examination
    2006-08-25
Other Names
  • Cole Doyle Conner

View on SEC IAPD

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