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 |
|---|---|---|---|---|---|---|---|---|
| Ricky Lacy Smith | 3193871 | 5 | 05/12/2004 | Customer Dispute | Settled | $6,527.00 | $0.00 | See FINRA Report |
| Oluwarotimi Odutola | 7121013 | 1 | 05/10/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Duncan Parsley | 3250340 | 1 | 01/31/2004 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Craig Caplan | 2266375 | 2 | 12/04/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel Jude Kiefer | 2472070 | 4 | 08/26/2003 | Customer Dispute | Closed-No Action | $16,326.20 | $0.00 | See FINRA Report |
| Ricky Lacy Smith | 3193871 | 5 | 06/27/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ricky Lacy Smith | 3193871 | 5 | 06/02/2003 | Customer Dispute | Settled | $23,095.00 | $0.00 | See FINRA Report |
| Daniel Jude Kiefer | 2472070 | 4 | 04/28/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Craig Caplan | 2266375 | 2 | 12/03/2002 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Joseph Anthony Santos | 2745089 | 2 | 04/17/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |