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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Anthony Santos | 2745089 | 2 | 03/02/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Leonard Descartes | 5139654 | 1 | 02/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jerome Sullivan | 5222623 | 1 | 02/17/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Evan D Winters | 2656321 | 1 | 02/02/2015 | Financial | Final | $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 | |
| Cyndy Marie Toscano | 4292727 | 1 | 04/30/2014 | Customer Dispute | Denied | $525,000.00 | $0.00 | See FINRA Report |
| Deanna Lynn Waters | 5965646 | 1 | 01/24/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Jude Kiefer | 2472070 | 4 | 10/21/2013 | Customer Dispute | Settled | $1,090,720.00 | $0.00 | See FINRA Report |
| Metehan Erim | 4823050 | 1 | 08/23/2013 | Customer Dispute | Denied | $13,568.00 | $0.00 | See FINRA Report |