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 |
|---|---|---|---|---|---|---|---|---|
| Eduardo F Torres | 6345959 | 4 | 08/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew James Falls | 7314566 | 1 | 07/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lorraine Hernandez Forbes | 4642695 | 3 | 06/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Derrik Simmons | 7048040 | 3 | 11/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Derrik Simmons | 7048040 | 3 | 11/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Derrik Simmons | 7048040 | 3 | 11/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Harrison Frederick Fosnocht | 7482175 | 1 | 03/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Luis Novo | 5725940 | 3 | 11/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Luis Novo | 5725940 | 3 | 11/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Luis Novo | 5725940 | 3 | 08/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |