Roger H. Weismiller

TD PRIVATE CLIENT WEALTH

Greenville, SC 29607

Some features on this profile are disabled

CRD#: 1658017

Professional summary

Roger Henry Weismiller is a registered financial professional currently at TD PRIVATE CLIENT WEALTH LLC located in Greenville, South Carolina.

Roger is registered as a RR (Registered Representative) and started their career in finance in 1987. Roger has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roger Henry Weismiller'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

April 22, 2026 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 200 Carolina Parkway 4th Floor, Greenville, SC 29607

RIA

CRD#: 164484

Greenville, SC

Past

March 11, 2025 - April 20, 2026

CORNERSTONE WEALTH MANAGEMENT, LLC

RIA

CRD#: 164666

Leland, NC

Past

March 7, 2025 - April 29, 2026

LPL FINANCIAL LLC

CRD#: 6413

LELAND, NC

Past

May 28, 2024 - January 14, 2025

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WILMINGTON, NC

Past

May 28, 2024 - January 14, 2025

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WILMINGTON, NC

Past

February 3, 2022 - May 28, 2024

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

Creve Coeur, MO

Past

February 3, 2022 - May 28, 2024

OSAIC INSTITUTIONS, INC.

CRD#: 35371

Creve Coeur, MO

Past

February 11, 1999 - November 26, 2021

EDWARD JONES

RIA

CRD#: 250

St. Louis, MO

Past

January 20, 1999 - November 26, 2021

EDWARD JONES

CRD#: 250

ST LOUIS, MO

Past

August 1, 1995 - January 15, 1999

STIFEL INDEPENDENT ADVISORS, LLC

CRD#: 28218

ST. LOUIS, MO

Past

November 18, 1988 - July 13, 1995

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

ST. LOUIS, MO

Past

February 1, 1988 - November 18, 1988

ROWLAND, SIMON & CO.

CRD#: 21666

Past

May 21, 1987 - February 1, 1988

R. ROWLAND & CO., INCORPORATED

CRD#: 911

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.

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

South Carolina
(4/22/2026)

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 66

Date: 10/26/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/27/1987

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: 5/16/1987

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)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

671

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 2026 (1/29/2026)

TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2026 (1/29/2026)

Direct owners and executive officers

Name	Position	CRD#
TD BANK, NATIONAL ASSOCIATION	OWNER
BEGUN, ROBERT	PRESIDENT	4436053
CALDERON NAJERA, NAYRA	CCO	5040972
CARROLL, ANNA	COO	4487506
CHABOT, ALAN J	CEO	2617874
ORTIZ, JORGE LUIS	CFO & FINOP	2725922
WILSON, KEVIN KEITH	FINOP	5437711

Regulatory assets under management

Total Number of Accounts	25,697
AUM (Assets Under Management)	$ 8,255,945,350

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

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.

Similar Advisors

Daniel Milks

FIDUCIARY ORGANIZATION, LLC

IAR

Greenville, SC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Roger H. Weismiller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roger Henry Weismiller's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

CORNERSTONE WEALTH MANAGEMENT, LLC

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

EDWARD JONES

EDWARD JONES

STIFEL INDEPENDENT ADVISORS, LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

ROWLAND, SIMON & CO.

R. ROWLAND & CO., INCORPORATED

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/26/2020

Series 63

Date: 5/27/1987

SIE

Date: 10/1/2018

Series 7

Date: 5/16/1987

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

Similar Advisors