Peter M. Von Maur
Professional summary
Peter Maddock Von Maur, who also goes by Peter Maddock Vonmaur, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Peter is registered as a RR (Registered Representative) and started their career in finance in 1990. Peter has worked at 5 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 55, Series 7, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter Maddock Von Maur's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 10, 2021 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017June 5, 2019 - December 26, 2020
M.Y. SAFRA SECURITIES, INC.
February 29, 2008 - November 13, 2018
RBC CAPITAL MARKETS, LLC
November 17, 2006 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
October 8, 1990 - April 19, 1995
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/10/2021)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 8/28/2009
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
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
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