Scott J. Berman
Professional summary
Scott Jeffrey Berman, who also goes by Scott Jeffrey Berman, Scott Berman, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Scott is registered as a RR (Registered Representative) and started their career in finance in 2001. Scott has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Jeffrey Berman's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 17, 2025 - Present
TD SECURITIES (USA) LLC
Office #1: 22 Vanderbilt Avenue 20th Floor, New York, NY 10017September 25, 2019 - March 17, 2025
BOFA SECURITIES, INC.
August 2, 2011 - August 2, 2019
KEYBANC CAPITAL MARKETS INC.
March 8, 2002 - June 6, 2011
MORGAN JOSEPH TRIARTISAN LLC
August 31, 2001 - February 26, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/17/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
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 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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