James F. Scully
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.
James Francis Scully was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2020 - July 5, 2024
TD PRIVATE CLIENT WEALTH LLC
January 25, 2019 - July 5, 2024
TD PRIVATE CLIENT WEALTH LLC
August 26, 2016 - July 20, 2017
TD PRIVATE CLIENT WEALTH LLC
November 8, 2011 - August 24, 2012
LPL FINANCIAL LLC
November 8, 2011 - June 10, 2016
LPL FINANCIAL LLC
May 2, 2009 - March 15, 2011
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - March 15, 2011
CHASE INVESTMENT SERVICES CORP.
January 3, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
July 13, 2004 - May 2, 2009
WAMU INVESTMENTS, INC.
February 11, 2000 - December 20, 2002
CAPITAL ONE INVESTMENT SERVICES LLC
April 17, 1997 - November 6, 2000
FLEET ENTERPRISES, INC.
January 6, 1997 - March 20, 1997
FLEET ENTERPRISES, INC.
February 23, 1993 - November 22, 2000
FIS SECURITIES, INC.
October 29, 1992 - November 12, 1992
CITICORP INVESTMENT SERVICES
July 13, 1989 - March 6, 1993
A.J. MICHAELS & CO., LTD.
March 7, 1989 - July 7, 1989
OPPENHEIMER & CO. INC.
January 19, 1988 - March 10, 1989
INVESTORS CENTER, INC.
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.
