Richard W. Collett
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.
Richard William Collett was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2024 - July 10, 2026
TD SECURITIES (USA) LLC
May 31, 2017 - December 10, 2024
COWEN AND COMPANY
January 6, 2006 - December 31, 2017
COWEN EXECUTION SERVICES LLC
April 8, 1999 - January 25, 2006
NATIONAL FINANCIAL SERVICES LLC
November 11, 1991 - March 29, 1999
BOSTON INSTITUTIONAL SERVICES INCORPORATED
November 14, 1989 - December 21, 1991
FUNDS DISTRIBUTOR, LLC
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 SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
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 | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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