Robert A. Moserowitz
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.
Robert A Moserowitz, who also goes by Robert Alan Moserowitz, Robert Moserowitz, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 13 firms and has passed the Series 99TO, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2021 - June 20, 2024
TD FINANCIAL PRODUCTS LLC
April 28, 2020 - June 20, 2024
TD PRIVATE CLIENT WEALTH LLC
April 11, 2018 - June 20, 2024
TD PRIME SERVICES LLC
October 20, 2016 - June 20, 2024
TD SECURITIES (USA) LLC
August 26, 2013 - August 2, 2016
ABN AMRO SECURITIES (USA) LLC
December 15, 2008 - August 14, 2013
MUFG SECURITIES AMERICAS INC.
July 11, 2008 - December 12, 2008
RBC CAPITAL MARKETS, LLC
May 2, 2005 - July 11, 2008
NOMURA SECURITIES INTERNATIONAL, INC.
March 30, 2001 - June 20, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 1999 - July 15, 1999
BNP PARIBAS INVESTMENT SERVICES, LLC
January 21, 1998 - October 29, 1998
SANTANDER INVESTMENT SECURITIES INC.
October 1, 1996 - December 31, 1997
YAMAICHI INTERNATIONAL (AMERICA) INC.
September 25, 1996 - October 8, 1996
HSBC SECURITIES (USA) INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
TD FINANCIAL PRODUCTS LLC
CRD#: 154838 / SEC#: , 8-68677
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.) INC. | OWNER | |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| MANNION, MARTIN | CO-HEAD OF ELECTRONIC TRADING | 4830837 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| SCHRAGER, MATTHEW | CO-HEAD OF ELECTRONIC TRADING | 6488305 |
| SUNDRAM, JEFFREY JOSEPH RODRIGUES | CHIEF COMPLIANCE OFFICER | 6191294 |
Red Flags
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