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 |
|---|---|---|---|---|---|---|---|---|
| Elicito Montero | 5498748 | 1 | 03/30/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Patrick Owen McGlashan | 2746969 | 2 | 06/07/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Patrick Owen McGlashan | 2746969 | 2 | 08/01/2000 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Avenoso | 7269878 | 2 | 12/12/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Naim Cukovic | 2910659 | 1 | 01/04/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Glenn Hunter Thomas | 1110228 | 1 | 12/11/1996 | Customer Dispute | Settled | $415,800.00 | $0.00 | See FINRA Report |
| James J Obrien | 7534708 | 1 | 05/14/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Raymond Martens | 5438374 | 1 | 04/24/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Knight Robinson | 4517399 | 1 | 12/04/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |