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 |
|---|---|---|---|---|---|---|---|---|
| Karen Lentz | 1146216 | 1 | 07/13/2018 | Customer Dispute | Denied | $7,723.79 | $0.00 | See FINRA Report |
| Cindy Chuk | 4668824 | 2 | 11/09/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles Caldwell Avatar | 1028024 | 1 | 09/14/2016 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Dennis L Kirschenmann | 5843792 | 1 | 02/16/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Anthony Santos | 2745089 | 2 | 03/02/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cyndy Marie Toscano | 4292727 | 1 | 04/30/2014 | Customer Dispute | Denied | $525,000.00 | $0.00 | See FINRA Report |
| Metehan Erim | 4823050 | 1 | 08/23/2013 | Customer Dispute | Denied | $13,568.00 | $0.00 | See FINRA Report |
| John Ashelford | 4265415 | 1 | 09/29/2010 | Customer Dispute | Denied | $13,106.50 | $0.00 | See FINRA Report |
| Ricky Lacy Smith | 3193871 | 5 | 11/10/2008 | Customer Dispute | Denied | $19,240.10 | $0.00 | See FINRA Report |
| Ricky Lacy Smith | 3193871 | 5 | 11/16/2006 | Customer Dispute | Denied | $6,459.06 | $0.00 | See FINRA Report |