Kenneth G. Thompson

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CRD#: 1510315

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.

Kenneth Gerard Thompson was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1986. Kenneth had worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

AIR TIGER LLC - 805 N. HAMMONDS FERRY ROAD - NATURE OF BUSINESS IS AIRCRAFT PARTNERSHIP - 25% OWNER. I DEVOTE LESS THAN 2 HOURS PER MONTH TO THIS OUTSIDE BUSINESS, NONE DURING TRADING HOURS. INITIAL INVOLVEMENT: 2008.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 16, 2013 - December 6, 2024

TD PRIVATE CLIENT WEALTH LLC

RIA

CRD#: 164484

NEW YORK, NY

Past

February 28, 2013 - December 6, 2024

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484

NEW YORK, NY

Past

February 15, 2012 - November 13, 2012

M&T SECURITIES, INC.

RIA

CRD#: 17358

BALTIMORE, MD

Past

June 22, 2005 - November 14, 2012

WILMINGTON TRUST INVESTMENT ADVISORS, INC.

RIA

CRD#: 106909

BALTIMORE, MD

Past

May 1, 1995 - November 13, 2012

M&T SECURITIES, INC.

CRD#: 17358

BALTIMORE, MD

Past

October 1, 1990 - May 1, 1995

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

March 12, 1987 - October 29, 1990

EMPIRE NATIONAL SECURITIES, INCORPORATED

CRD#: 7361

Past

August 19, 1986 - October 7, 1986

AMERICAN HERITAGE SECURITIES CORPORATION

CRD#: 16130

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".

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/21/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/13/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/22/1994

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 11/2/1992

Investment Company Products/Variable Contracts Principal Examination

Current Firm

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TD PRIVATE CLIENT WEALTH LLC MANAGED ACCOUNT PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

Direct owners and executive officers

Name	Position	CRD#
TD BANK, NATIONAL ASSOCIATION	OWNER
BEAM, JAMES HENRY JR.	PRESIDENT	4274924
CALDERON NAJERA, NAYRA	CCO	5040972
CHABOT, ALAN J	CEO	2617874
ORTIZ, JORGE LUIS	CFO & FINOP	2725922
SCHAUTZ, JOHN LOUIS III	COO	1430568
WILSON, KEVIN KEITH	FINOP	5437711

Regulatory assets under management

Total Number of Accounts	17,824
AUM (Assets Under Management)	$ 6,450,375,507

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/30/2025	Cover Page	Report
09/27/2024	Cover Page	Report
06/27/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Kenneth G. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

M&T SECURITIES, INC.

WILMINGTON TRUST INVESTMENT ADVISORS, INC.

M&T SECURITIES, INC.

IFMG SECURITIES, INC.

EMPIRE NATIONAL SECURITIES, INCORPORATED

AMERICAN HERITAGE SECURITIES CORPORATION

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/21/2005

Series 63

Date: 8/13/1986

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/19/1986

Series 24

Date: 7/22/1994

Series 26

Date: 11/2/1992

Current Firm

TD PRIVATE CLIENT WEALTH LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

TD PRIVATE CLIENT WEALTH LLC

TRUST BUT VERIFY

Contact information

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