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 |
|---|---|---|---|---|---|---|---|---|
| Cindy Chuk | 4668824 | 2 | 11/09/2017 | Customer Dispute | Denied | $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 |
| Charles Caldwell Avatar | 1028024 | 1 | 09/14/2016 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Luis Novo | 5725940 | 3 | 08/30/2016 | Financial | Final | $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 | |
| Dennis L Kirschenmann | 5843792 | 1 | 02/16/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Avenoso | 7269878 | 2 | 09/03/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Peter Sarubbi | 5306167 | 1 | 03/20/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |