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 |
|---|---|---|---|---|---|---|---|---|
| Ricky Lacy Smith | 3193871 | 5 | 06/27/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Anthony Santos | 2745089 | 2 | 04/17/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |