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RC

Richard W. Collett

TD SECURITIES (USA) LLC
BOSTON, MA 02109
Some features on this profile are disabled
CRD#: 1782183
RC

Professional summary

Richard William Collett is a registered financial professional currently at TD SECURITIES (USA) LLC located in Boston, Massachusetts.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1989. Richard has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

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 Richard William Collett's 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

December 9, 2024 - Present

TD SECURITIES (USA) LLC

Office #1: 2 International Place 25th Floor, Boston, MA 02109
BD
CRD#: 18476
BOSTON, MA
Past

May 31, 2017 - December 10, 2024

COWEN AND COMPANY

BD
CRD#: 7616
BOSTON, MA
Past

January 6, 2006 - December 31, 2017

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
BOSTON, MA
Past

April 8, 1999 - January 25, 2006

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA
Past

November 11, 1991 - March 29, 1999

BOSTON INSTITUTIONAL SERVICES INCORPORATED

BD
CRD#: 5861
BOSTON, MA
Past

November 14, 1989 - December 21, 1991

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
PORTLAND, ME

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Alabama
(2/6/2025)
RR
Alaska
(2/6/2025)
RR
Arizona
(2/6/2025)
RR
Arkansas
(2/6/2025)
RR
California
(2/6/2025)
RR
Colorado
(2/6/2025)
RR
Connecticut
(2/6/2025)
RR
Delaware
(2/6/2025)
RR
District of Columbia
(2/6/2025)
RR
Florida
(2/6/2025)
RR
Georgia
(2/6/2025)
RR
Hawaii
(2/6/2025)
RR
Idaho
(2/6/2025)
RR
Illinois
(2/6/2025)
RR
Indiana
(2/6/2025)
RR
Iowa
(2/6/2025)
RR
Kansas
(2/6/2025)
RR
Kentucky
(2/6/2025)
RR
Louisiana
(2/6/2025)
RR
Maine
(2/6/2025)
RR
Maryland
(2/6/2025)
RR
Massachusetts
(12/11/2024)
RR
Michigan
(2/6/2025)
RR
Minnesota
(2/6/2025)
RR
Mississippi
(2/6/2025)
RR
Missouri
(2/6/2025)
RR
Montana
(2/6/2025)
RR
Nebraska
(2/6/2025)
RR
Nevada
(2/6/2025)
RR
New Hampshire
(2/6/2025)
RR
New Jersey
(2/6/2025)
RR
New Mexico
(2/6/2025)
RR
New York
(12/9/2024)
RR
North Carolina
(2/6/2025)
RR
North Dakota
(2/6/2025)
RR
Ohio
(2/6/2025)
RR
Oklahoma
(2/6/2025)
RR
Oregon
(2/6/2025)
RR
Pennsylvania
(2/6/2025)
RR
Puerto Rico
(2/6/2025)
RR
Rhode Island
(2/6/2025)
RR
South Carolina
(2/6/2025)
RR
South Dakota
(2/6/2025)
RR
Tennessee
(2/6/2025)
RR
Texas
(2/6/2025)
RR
Utah
(2/6/2025)
RR
Vermont
(2/6/2025)
RR
Virginia
(2/6/2025)
RR
Washington
(2/6/2025)
RR
West Virginia
(2/6/2025)
RR
Wisconsin
(2/6/2025)
RR
Wyoming
(2/6/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 1/25/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/19/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/11/1988
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/26/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/23/2001
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

TS
TD SECURITIES (USA) LLC
AMERICAN GOVERNMENT SECURITIES, INC. | TORONTO DOMINION SECURITIES CORP. | TORONTO DOMINION SECURITIES (USA) INC. | TD SECURITIES (USA) LLC | TD SECURITIES (USA) INC.

CRD#: 18476 / SEC#: , 8-36747

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
One Vanderbilt Avenue, New York, NY 10017
Mailing Address
One Vanderbilt Avenue, New York, NY 10017
Phone number
(212) 827-7000
Established
Delaware since 11/01/2004
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TORONTO DOMINION HOLDINGS (U.S.A.), INC.PARENT
BROADBERY, MICHAELCHIEF COMPLIANCE OFFICER6947899
GIBSON, GLENNCHIEF EXECUTIVE OFFICER5659024
ORTIZ, JORGE LUISFINANCIAL & OPERATIONS PRINCIPAL2725922
PETROU, CHRISTINA ACHIEF OPERATING OFFICER4007468
WONG, KRISTIECHIEF FINANCIAL OFFICER4725261

Disclosures

Regulatory Event20
Criminal1

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.

Company Information

TD SECURITIES (USA) LLC

CRD#: 18476Boston, MA 02109

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