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 |
|---|---|---|---|---|---|---|---|---|
| John Leroy Ranft | 1629438 | 1 | 08/02/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Allison Balmores | 5785776 | 1 | 06/28/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Berlin | 6336309 | 1 | 12/12/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Glendon D Marcelle | 6164801 | 1 | 09/30/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Deanna Lynn Waters | 5965646 | 1 | 01/24/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Roel J Perez | 5631363 | 1 | 01/14/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Jude Kiefer | 2472070 | 4 | 04/28/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Naim Cukovic | 2910659 | 1 | 01/04/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |