Christopher C. Goewey
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.
Christopher Charles Goewey, who also goes by Christopher Charles Goewey Sr, Christopher Charles Goewey, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1987. Christopher had worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2022 - November 11, 2022
TD PRIVATE CLIENT WEALTH LLC
October 20, 2022 - November 11, 2022
TD PRIVATE CLIENT WEALTH LLC
January 6, 2010 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 6, 2010 - January 11, 2021
TD AMERITRADE, INC.
October 9, 2007 - January 11, 2021
TD AMERITRADE, INC.
March 22, 2007 - June 13, 2007
WELLS FARGO CLEARING SERVICES, LLC
October 15, 2004 - May 12, 2005
CITIGROUP GLOBAL MARKETS INC.
July 17, 2001 - November 25, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 15, 1994 - January 11, 2001
JANNEY MONTGOMERY SCOTT LLC
June 19, 1989 - February 18, 1994
PRUDENTIAL EQUITY GROUP, LLC
January 19, 1988 - August 4, 1989
UBS FINANCIAL SERVICES INC.
December 1, 1987 - January 1, 1988
THE STUART-JAMES COMPANY, INCORPORATED
November 4, 1987 - December 2, 1987
RANDOLPH BROWN SECURITIES CORPORATION
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.
