Richard C. Lamanno
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Carl Lamanno was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2013 - July 9, 2018
TD PRIVATE CLIENT WEALTH LLC
June 7, 2013 - July 9, 2018
TD PRIVATE CLIENT WEALTH LLC
December 13, 2011 - October 10, 2012
UBS FINANCIAL SERVICES INC.
January 1, 2005 - October 19, 2011
HSBC SECURITIES (USA) INC.
June 10, 2003 - January 1, 2005
HSBC BROKERAGE (USA) INC.
November 6, 2002 - January 3, 2003
QUICK & REILLY, INC.
August 23, 2000 - August 12, 2002
J.P. MORGAN SECURITIES INC.
February 3, 1997 - September 5, 2000
CHASE INVESTMENT SERVICES CORP.
January 24, 1989 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
January 24, 1989 - May 24, 1995
MONY SECURITIES CORPORATION
November 21, 1983 - May 31, 1984
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
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.
