David S. Hartnett

TD SECURITIES (USA) LLC

Stamford, CT 06902

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CRD#: 1209661

Professional summary

David Steven Hartnett, who also goes by Duke Hartnett, is a registered financial professional currently at TD SECURITIES (USA) LLC located in Stamford, Connecticut.

David is registered as a RR (Registered Representative) and started their career in finance in 1985. David has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Duke Hartnett

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Steven Hartnett'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®

None

Experience

Current

December 9, 2024 - Present

TD SECURITIES (USA) LLC

Office #1: 262 Harbor Blvd 2nd Floor, Stamford, CT 06902

CRD#: 18476

Stamford, CT

Past

August 4, 2015 - December 9, 2024

COWEN AND COMPANY

CRD#: 7616

Stamford, CT

Past

February 29, 2008 - June 24, 2015

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

July 31, 2003 - February 29, 2008

RBC CAPITAL MARKETS CORPORATION

CRD#: 6579

NEW YORK, NY

Past

July 28, 2003 - February 6, 2004

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

October 10, 2000 - August 8, 2003

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

July 6, 1999 - October 10, 2000

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

January 24, 1989 - July 16, 1999

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

October 2, 1987 - January 26, 1989

NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

CRD#: 824

Past

December 11, 1986 - August 19, 1987

WOOLCOTT & CO., INC.

CRD#: 7999

Past

February 28, 1986 - September 19, 1986

NEWHARD, COOK & CO. INCORPORATED

CRD#: 619

Past

June 10, 1985 - February 3, 1986

PERSHING LLC

CRD#: 7560

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(1/17/2025)

Alaska
(1/17/2025)

Arizona
(1/17/2025)

Arkansas
(1/17/2025)

California
(12/9/2024)

Colorado
(1/17/2025)

Connecticut
(12/9/2024)

Delaware
(1/17/2025)

District of Columbia
(1/17/2025)

Florida
(1/17/2025)

Georgia
(1/17/2025)

Hawaii
(1/17/2025)

Idaho
(1/17/2025)

Illinois
(1/17/2025)

Indiana
(1/17/2025)

Iowa
(1/17/2025)

Kansas
(1/17/2025)

Kentucky
(1/17/2025)

Louisiana
(1/17/2025)

Maine
(1/17/2025)

Maryland
(12/9/2024)

Massachusetts
(1/17/2025)

Michigan
(1/17/2025)

Minnesota
(1/17/2025)

Mississippi
(1/17/2025)

Missouri
(1/17/2025)

Montana
(1/17/2025)

Nebraska
(1/17/2025)

Nevada
(1/17/2025)

New Hampshire
(1/17/2025)

New Jersey
(12/9/2024)

New Mexico
(1/17/2025)

New York
(12/9/2024)

North Carolina
(1/17/2025)

North Dakota
(1/17/2025)

Ohio
(1/17/2025)

Oklahoma
(1/17/2025)

Oregon
(1/17/2025)

Pennsylvania
(1/17/2025)

Puerto Rico
(1/17/2025)

Rhode Island
(1/17/2025)

South Carolina
(1/17/2025)

South Dakota
(1/17/2025)

Tennessee
(1/17/2025)

Texas
(1/17/2025)

Utah
(1/17/2025)

Vermont
(1/17/2025)

Virginia
(1/17/2025)

Washington
(1/17/2025)

West Virginia
(1/17/2025)

Wisconsin
(1/17/2025)

Wyoming
(1/17/2025)

Exams

State Security Law Exam

Series 63

Date: 5/29/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/16/2007

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 4/20/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/12/2009

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

TD SECURITIES (USA) LLC

AMERICAN GOVERNMENT SECURITIES, INC. | TORONTO DOMINION SECURITIES CORP. | TORONTO DOMINION SECURITIES (USA) INC. | TD SECURITIES (USA) LLC | TD SECURITIES (USA) INC.

CRD#: 18476 / SEC#: , 8-36747

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

One Vanderbilt Avenue, New York, NY 10017

Mailing Address

One Vanderbilt Avenue, New York, NY 10017

Phone number

(212) 827-7000

Established

Delaware since 11/01/2004

Firm type

Limited Liability Company

Fiscal year end

October

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
TORONTO DOMINION HOLDINGS (U.S.A.), INC.	PARENT
BROADBERY, MICHAEL	CHIEF COMPLIANCE OFFICER	6947899
GIBSON, GLENN	CHIEF EXECUTIVE OFFICER	5659024
JENKINS, CHRISTINE J	FINANCIAL & OPERATIONS PRINCIPAL	4911933
ORTIZ, JORGE LUIS	CHIEF FINANCIAL OFFICER	2725922
PETROU, CHRISTINA A	CHIEF OPERATING OFFICER	4007468

Disclosures

Regulatory Event	20
Criminal	1

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.

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Advisor Monitoring

Firm Stability Insights

David S. Hartnett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Steven Hartnett's CRS (Customer Relationship Summary).

Certified licenses

Experience

COWEN AND COMPANY

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS CORPORATION

RBC CAPITAL MARKETS, LLC

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

CIBC WORLD MARKETS CORP.

NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

WOOLCOTT & CO., INC.

NEWHARD, COOK & CO. INCORPORATED

PERSHING LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/29/1985

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 2/16/2007

Series 7

Date: 4/20/1985

Series 24

Date: 10/12/2009

FINRA

NYSE American LLC

NYSE Arca, Inc.

Nasdaq BX, Inc.

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

TD SECURITIES (USA) LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TD SECURITIES (USA) LLC

TRUST BUT VERIFY

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