Anthony J. Principato
Professional summary
Anthony Joseph Principato is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York and TD PRIME SERVICES LLC located in New York, New York.
Anthony is registered as a RR (Registered Representative) and started their career in finance in 1987. Anthony has worked at 5 firms and has passed the Series 99TO, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Anthony Joseph Principato's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 18, 2016 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017January 11, 2017 - Present
TD PRIME SERVICES LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017March 14, 2011 - March 20, 2013
CREDIT SUISSE SECURITIES (USA) LLC
September 3, 1996 - March 24, 2011
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
October 20, 1987 - November 7, 1995
NATWEST SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
TD PRIME SERVICES LLC
CRD#: 1914 / SEC#: , 8-3337
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BALDASSANO, MATTHEW ANTHONY | MANAGING DIRECTOR, HEAD OF PRIME SERVICES | 1645834 |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| PRINCIPATO, ANTHONY JOSEPH | PRINCIPAL OPERATIONS OFFICER / HEAD OF OPERATIONS | |
| WILSON, KEVIN KEITH | FINANCIAL & OPERATIONS PRINCIPAL | 5437711 |
Disclosures
| Regulatory Event | 11 |
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