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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Jude Kiefer | 2472070 | 4 | 10/21/2013 | Customer Dispute | Settled | $1,090,720.00 | $0.00 | See FINRA Report |
| Jeffrey Stephen Glassgold | 4127206 | 1 | 06/27/2013 | Customer Dispute | Settled | $10,970.00 | $0.00 | See FINRA Report |
| Cindy Chuk | 4668824 | 2 | 08/03/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy Wagner | 4668006 | 1 | 09/17/2009 | Customer Dispute | Settled | $85,696.90 | $0.00 | See FINRA Report |
| Daniel Jude Kiefer | 2472070 | 4 | 10/28/2004 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Ricky Lacy Smith | 3193871 | 5 | 05/12/2004 | Customer Dispute | Settled | $6,527.00 | $0.00 | See FINRA Report |
| Duncan Parsley | 3250340 | 1 | 01/31/2004 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Ricky Lacy Smith | 3193871 | 5 | 06/02/2003 | Customer Dispute | Settled | $23,095.00 | $0.00 | See FINRA Report |
| Craig Caplan | 2266375 | 2 | 12/03/2002 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Glenn Hunter Thomas | 1110228 | 1 | 12/11/1996 | Customer Dispute | Settled | $415,800.00 | $0.00 | See FINRA Report |