JK
Jeff R. Kraebel
TD PRIVATE CLIENT WEALTH LLC
Ramsey, NJ 07446
Some features on this profile are disabled
CRD#: 1851810
JK
Professional summary
Jeff Roy Kraebel, who also goes by Jeffrey Roy Kraebel, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Ramsey, New Jersey.
Jeff is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Jeff has worked at 5 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, Series 6TO, SIE, Series 7, Series 14, Series 10, Series 9, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeffrey Roy Kraebel
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.
1. The name of the other business
Pershing Advisory Board
2. Whether the business is investment-related
Pershing is a Broker-Dealer clearing firm
3. The address of the other business
One Pershing Plaza, Jersey City, NJ 07399
4. The nature of the other business
Pershing established the Client Advisory Board to bring clients together to discuss market and environmental changes. also discuss other factors impacting the brokerage businesses, identify actions and strategies that will ensure collective future success.
5. Your position
Advisory Counsel Member
6. Title
N/A
7. Relationship with the other business
I manage the Products and Services team that owns the strategic relationship with Pershing.
8. The start date of your relationship. I have been imvoled with Advisory Board since September of 2018. I only accepted travel benefis for the spring meeting in 2019 which was the OBA was submitted.
9. The approximate number of hours/month you devote to the other business
0-20 hours per month. My involvement is mostly limited to the Council meetings.
10. The number of hours you devote to the other business during securities trading hours. I do not spend anytime unless attending a meeting which will require two business days out of the office.
11. Briefly describe your duties relating to the other business.
Participate in group discussions.
CRS (Client Relationship Summary) - RIA
Click below to view Jeff Roy Kraebel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeff Roy Kraebel'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®
NoneExperience
Current
October 5, 2024 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1100 Lake Street 3rd Floor, Ramsey, NJ 07446RIA
BD
CRD#: 164484
Ramsey, NJ
Current
October 2, 2024 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1100 Lake Street 3rd Floor, Ramsey, NJ 07446RIA
BD
CRD#: 164484
Ramsey, NJ
Past
December 5, 2007 - July 17, 2023
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
NEW YORK, NY
Past
February 3, 2005 - July 17, 2023
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK, NY
Past
April 9, 1991 - January 31, 2005
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
October 13, 1989 - December 21, 1990
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
Past
March 8, 1989 - April 10, 1989
KOCHCAPITAL
BD
CRD#: 21038
Past
September 20, 1988 - March 10, 1989
INVESTORS CENTER, INC.
BD
CRD#: 14670
HAUPPAGUE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(3/6/2025)
IAR
California(3/6/2025)
RR
Connecticut(10/10/2024)
IAR
Connecticut(10/15/2024)
RR
Delaware(2/5/2025)
IAR
Delaware(2/10/2025)
RR
Florida(10/10/2024)
IAR
Florida(10/11/2024)
RR
Georgia(10/10/2024)
IAR
Georgia(10/11/2024)
RR
Maryland(10/10/2024)
IAR
Maryland(10/10/2024)
RR
New Hampshire(10/10/2024)
IAR
New Hampshire(10/15/2024)
RR
New Jersey(10/10/2024)
IAR
New Jersey(10/10/2024)
RR
New Mexico(2/5/2025)
IAR
New Mexico(2/5/2025)
RR
New York(10/2/2024)
IAR
New York(10/5/2024)
RR
North Carolina(10/10/2024)
IAR
North Carolina(10/10/2024)
RR
Pennsylvania(10/10/2024)
IAR
Pennsylvania(10/10/2024)
RR
South Carolina(10/10/2024)
IAR
South Carolina(10/10/2024)
RR
Vermont(10/31/2024)
IAR
Vermont(10/31/2024)
RR
Virginia(10/10/2024)
IAR
Virginia(10/11/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017
Mailing Address
1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017
Phone number
(877) 703-9896
Established
Delaware since 07/13/2012
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
662
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.
