Our Staff has compiled our research into a database of FINRA Broker Disclosures for TD Private Client Wealth LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| David Riley | 2128473 | 1 | 08/23/2005 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Craig Caplan | 2266375 | 2 | 12/04/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel Jude Kiefer | 2472070 | 4 | 08/26/2003 | Customer Dispute | Closed-No Action | $16,326.20 | $0.00 | See FINRA Report |