John T. Profitlich
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.
John Thomas Profitlich, who also goes by Chick Profitlich, Pro Profitlich, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2014 - February 15, 2019
TD PRIVATE CLIENT WEALTH LLC
July 15, 2013 - February 15, 2019
TD PRIVATE CLIENT WEALTH LLC
April 21, 2011 - July 17, 2013
CITIGROUP GLOBAL MARKETS INC.
April 18, 2008 - March 24, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
June 23, 2005 - April 4, 2008
HSBC SECURITIES (USA) INC.
March 12, 2003 - May 26, 2005
CHASE INVESTMENT SERVICES CORP.
January 10, 1997 - March 26, 2002
CHASE INVESTMENT SERVICES CORP.
May 7, 1993 - July 25, 1996
FLEET ENTERPRISES, INC.
February 12, 1993 - April 28, 1993
ROYCE INVESTMENT GROUP, INC.
June 30, 1992 - September 9, 1992
FUNDAMENTAL BROKERS
April 22, 1991 - June 12, 1992
FUNDAMENTAL BROKERS
March 13, 1990 - March 15, 1990
BCA SECURITIES, L.P.
March 13, 1990 - April 11, 1991
DEALERWEB LLC
July 25, 1987 - April 14, 1989
FUNDAMENTAL BROKERS
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
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
Current Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
