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 |
|---|---|---|---|---|---|---|---|---|
| Michael Peter Sarubbi | 5306167 | 1 | 03/20/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dennis Pelaez-Robles | 7024348 | 1 | 02/26/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Oluwarotimi Odutola | 7121013 | 1 | 05/10/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Elicito Montero | 5498748 | 1 | 03/30/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Patrick Owen McGlashan | 2746969 | 2 | 06/07/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Avenoso | 7269878 | 2 | 12/12/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James J Obrien | 7534708 | 1 | 05/14/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Raymond Martens | 5438374 | 1 | 04/24/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Knight Robinson | 4517399 | 1 | 12/04/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |