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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Stephen Glassgold | 4127206 | 1 | 06/27/2013 | Customer Dispute | Settled | $10,970.00 | $0.00 | See FINRA Report |
| Roel J Perez | 5631363 | 1 | 01/14/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Cindy Chuk | 4668824 | 2 | 08/03/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Ashelford | 4265415 | 1 | 09/29/2010 | Customer Dispute | Denied | $13,106.50 | $0.00 | See FINRA Report |
| Timothy Wagner | 4668006 | 1 | 09/17/2009 | Customer Dispute | Settled | $85,696.90 | $0.00 | See FINRA Report |
| Ricky Lacy Smith | 3193871 | 5 | 11/10/2008 | Customer Dispute | Denied | $19,240.10 | $0.00 | See FINRA Report |
| Dennis Pelaez-Robles | 7024348 | 1 | 02/26/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ricky Lacy Smith | 3193871 | 5 | 11/16/2006 | Customer Dispute | Denied | $6,459.06 | $0.00 | See FINRA Report |
| David Riley | 2128473 | 1 | 08/23/2005 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Daniel Jude Kiefer | 2472070 | 4 | 10/28/2004 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |