TT
Thomas E. Troxell
TD PRIVATE CLIENT WEALTH LLC
Waterford, VA
Some features on this profile are disabled
CRD#: 1189240
TT
Professional summary
Thomas Edward Troxell, who also goes by Tucker Troxell, Tom Troxell, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Waterford, Virginia.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Thomas has worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tucker Troxell | Tom Troxell
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
GRACE THOMAS LLC
NOT INVESTMENT RELATED
LEESBURG, VA
JANUARY 2011
LLC MEMBER
I HAVE NO OFFICIAL DUTIES OTHER THAN ASSISTING MY WIFE IN COMPLETING HER PHOTOGRAPHY ASSIGNMENTS.
I SPEND NO TIME ON THIS DURING
TRADING HOURS.
I SPEND LESS THAN 2 HOURS PER MONTH OUTSIDE TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Edward Troxell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Edward Troxell's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 23, 2019 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #2: 1919 Gallows Road 2nd Floor, Vienna, VA 22182RIA
BD
CRD#: 164484
Waterford, VA
Current
December 4, 2018 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1919 Gallows Road 2nd Floor, Vienna, VA 22182RIA
BD
CRD#: 164484
Vienna, VA
Past
October 15, 2007 - October 17, 2014
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
WASHINGTON, DC
Past
July 13, 2007 - October 17, 2014
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WASHINGTON, DC
Past
February 2, 2004 - December 31, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
May 16, 2003 - June 10, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
October 1, 2000 - May 9, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 14, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(10/15/2020)
IAR
Alaska(10/15/2020)
RR
California(8/23/2019)
IAR
California(8/23/2019)
RR
Delaware(8/23/2019)
IAR
Delaware(8/23/2019)
RR
District of Columbia(1/29/2025)
IAR
District of Columbia(1/29/2025)
RR
Florida(8/23/2019)
IAR
Florida(8/26/2019)
RR
Illinois(10/16/2019)
IAR
Illinois(10/16/2019)
RR
Maine(8/23/2019)
IAR
Maine(8/23/2019)
RR
Maryland(8/23/2019)
IAR
Maryland(8/23/2019)
RR
Massachusetts(8/26/2019)
IAR
Massachusetts(8/27/2019)
RR
Michigan(8/23/2019)
IAR
Michigan(8/23/2019)
RR
Missouri(8/23/2019)
IAR
Missouri(8/23/2019)
RR
New York(8/23/2019)
IAR
New York(8/23/2021)
RR
North Carolina(8/23/2019)
IAR
North Carolina(8/23/2019)
RR
Ohio(8/23/2019)
IAR
Ohio(8/23/2019)
RR
Oregon(8/23/2019)
IAR
Oregon(8/23/2019)
RR
Pennsylvania(8/23/2019)
IAR
Pennsylvania(8/23/2019)
RR
South Carolina(8/23/2019)
IAR
South Carolina(8/23/2019)
RR
Texas(8/23/2019)
IAR
Texas(8/23/2019)
RR
Virginia(8/23/2019)
IAR
Virginia(8/23/2019)
RR
Washington(8/23/2019)
IAR
Washington(8/23/2019)
RR
Wisconsin(8/23/2019)
IAR
Wisconsin(8/23/2019)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/4/2018
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017
Mailing Address
1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017
Phone number
(877) 703-9896
Established
Delaware since 07/13/2012
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
662
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
