John L. Ranft

TD PRIVATE CLIENT WEALTH LLC

Exton, PA 19341

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CRD#: 1629438

Professional summary

John Leroy Ranft, who also goes by John Ranft, John L Ranft, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Exton, Pennsylvania.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. John has worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Ranft | John L Ranft

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) - RIA

Click below to view John Leroy Ranft's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view John Leroy Ranft's CRS (Customer Relationship Summary).

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

October 18, 2022 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 100 Iron Lake Blvd, Exton, PA 19341

RIA

CRD#: 164484

Exton, PA

Current

October 17, 2022 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 100 Iron Lake Blvd, Exton, PA 19341

RIA

CRD#: 164484

Exton, PA

Past

May 6, 2020 - September 1, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DEVON, PA

Past

May 6, 2020 - September 1, 2022

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DEVON, PA

Past

February 27, 2018 - April 21, 2020

TD AMERITRADE, INC.

RIA

CRD#: 7870

EXTON, PA

Past

February 26, 2018 - April 21, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Exton, PA

Past

February 26, 2018 - April 21, 2020

TD AMERITRADE, INC.

CRD#: 7870

EXTON, PA

Past

March 6, 2017 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

March 6, 2017 - February 26, 2018

SCOTTRADE, INC.

CRD#: 8206

WAYNE, PA

Past

January 17, 2017 - May 1, 2017

QID LLC

RIA

CRD#: 175114

West Chester, PA

Past

March 31, 2016 - October 11, 2016

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

WILMINGTON, DE

Past

March 29, 2016 - October 11, 2016

CITIZENS SECURITIES, INC.

CRD#: 39550

WILMINGTON, DE

Past

June 27, 2013 - December 22, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GREENWOOD VILLAGE, CO

Past

June 27, 2013 - December 22, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

GREENWOOD VILLAGE, CO

Past

December 9, 2009 - June 30, 2011

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477

PORTLAND, ME

Past

January 16, 2008 - November 30, 2009

IFS FUND DISTRIBUTORS, INC.

CRD#: 24075

RENO, NV

Past

January 7, 2008 - June 26, 2013

NAVELLIER & ASSOCIATES INC

RIA

CRD#: 107568

RENO, NV

Past

October 16, 2003 - December 31, 2007

PGIM INVESTMENTS LLC

RIA

CRD#: 105670

DENVER, CO

Past

October 8, 2003 - December 31, 2007

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

September 4, 2002 - June 17, 2003

JOHN HANCOCK DISTRIBUTORS LLC

RIA

CRD#: 5249

GRANITE BAY, CA

Past

September 4, 2002 - June 17, 2003

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

October 17, 1995 - April 15, 2002

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

November 14, 1990 - October 9, 1995

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

IAR

Delaware
(10/21/2022)

Delaware
(11/9/2022)

New Jersey
(10/27/2022)

IAR

New Jersey
(10/27/2022)

Pennsylvania
(10/18/2022)

IAR

Pennsylvania
(10/18/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/23/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/26/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/13/1990

General Securities Representative Examination

SRO Registrations

FINRA

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.

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Advisor Monitoring

Firm Stability Insights

John L. Ranft

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Leroy Ranft's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view John Leroy Ranft's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

QID LLC

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FORESIDE FINANCIAL SERVICES, LLC

IFS FUND DISTRIBUTORS, INC.

NAVELLIER & ASSOCIATES INC

PGIM INVESTMENTS LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

JOHN HANCOCK DISTRIBUTORS LLC

JOHN HANCOCK DISTRIBUTORS LLC

WELLS FARGO CLEARING SERVICES, LLC

GRUNTAL & CO., L.L.C.

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/23/2016

Series 63

Date: 11/26/1990

SIE

Date: 10/1/2018

Series 7

Date: 11/13/1990

FINRA

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

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