Michael Rail

UBS FINANCIAL SERVICES INC.

GREENWICH, CT · CRD#

LPL ENTERPRISE, LLC

WHITE PLAINS, NY · CRD#

AE WEALTH MANAGEMENT, LLC

Darien, CT · CRD#

RBC CAPITAL MARKETS, LLC

STAMFORD, CT · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

38 years registered in the securities industry

Current & Past Employments

Current

TD SECURITIES (USA) LLCCurrent·CRD# 18476

BD

262 Harbor Drive 2nd Floor, Stamford, CT 06902

December 9, 2024 - Present

Past

COWEN AND COMPANYPast·CRD# 7616

BD

Stamford, CT

April 25, 2014 - December 9, 2024

INTERNATIONAL STRATEGY & INVESTMENT GROUP LLCPast·CRD# 28195

BD

New York, NY

August 9, 2012 - May 19, 2014

JEFFERIES LLCPast·CRD# 2347

BD

New York, NY

November 17, 2005 - August 9, 2012

LEHMAN BROTHERS INC.Past·CRD# 7506

BD

New York, NY

July 16, 2003 - October 20, 2005

CREDIT SUISSE SECURITIES (USA) LLCPast·CRD# 816

BD

New York, NY

October 10, 2000 - May 9, 2003

PERSHING LLCPast·CRD# 7560

BD

Jersey City, NJ

February 24, 1988 - October 10, 2000

E. F. HUTTON & COMPANY INCPast·CRD# 235

BD

March 11, 1988 - May 5, 1988

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Current Firm

TS

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

BD

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

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

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US 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
ORTIZ, JORGE LUIS	FINANCIAL & OPERATIONS PRINCIPAL	2725922
PETROU, CHRISTINA A	CHIEF OPERATING OFFICER	4007468
WONG, KRISTIE	CHIEF FINANCIAL OFFICER	4725261

Disclosures

Regulatory Event

22

Criminal

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

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

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(1/23/2025)

RR

Alaska
(1/22/2025)

RR

Arizona
(1/30/2025)

RR

Arkansas
(1/21/2025)

RR

California
(1/21/2025)

RR

Colorado
(1/22/2025)

RR

Connecticut
(12/9/2024)

RR

Delaware
(1/29/2025)

RR

District of Columbia
(1/23/2025)

RR

Florida
(1/21/2025)

RR

Georgia
(1/21/2025)

RR

Hawaii
(3/25/2025)

RR

Idaho
(1/21/2025)

RR

Illinois
(1/24/2025)

RR

Indiana
(1/23/2025)

RR

Iowa
(1/23/2025)

RR

Kansas
(1/17/2025)

RR

Kentucky
(1/21/2025)

RR

Louisiana
(1/24/2025)

RR

Maine
(1/21/2025)

RR

Massachusetts
(2/11/2025)

RR

Michigan
(1/21/2025)

RR

Minnesota
(1/21/2025)

RR

Mississippi
(1/21/2025)

RR

Missouri
(3/7/2025)

RR

Montana
(1/21/2025)

RR

Nebraska
(1/17/2025)

RR

Nevada
(1/21/2025)

RR

New Hampshire
(1/24/2025)

RR

New Jersey
(1/20/2025)

RR

New Mexico
(1/21/2025)

RR

New York
(12/9/2024)

RR

North Carolina
(1/21/2025)

RR

North Dakota
(1/22/2025)

RR

Ohio
(2/2/2025)

RR

Oklahoma
(1/27/2025)

RR

Oregon
(1/23/2025)

RR

Pennsylvania
(1/21/2025)

RR

Puerto Rico
(2/6/2025)

RR

Rhode Island
(1/21/2025)

RR

South Carolina
(1/21/2025)

RR

South Dakota
(1/21/2025)

RR

Tennessee
(1/22/2025)

RR

Texas
(1/19/2025)

RR

Utah
(1/23/2025)

RR

Vermont
(1/21/2025)

RR

Virginia
(1/21/2025)

RR

Washington
(1/22/2025)

RR

West Virginia
(1/23/2025)

RR

Wisconsin
(1/21/2025)

RR

Wyoming
(1/21/2025)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 55 — Limited Representative-Equity Trader Exam

Passed Apr 2000

Series 7 — General Securities Representative Examination

Passed Feb 1988About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jun 2006About the Series 24 exam

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CRS (Client Relationship Summary) - BD

Click below to view Michael Rail's CRS (Customer Relationship Summary).

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