Andrew J. Lafemina
Professional summary
Andrew J Lafemina, who also goes by Andrew John Lafemina, Andrew J Lafemina, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1991. Andrew has worked at 7 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew J Lafemina's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 6, 2018 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017August 23, 2004 - April 24, 2018
NOMURA SECURITIES INTERNATIONAL, INC.
May 7, 2004 - September 1, 2004
J.P. MORGAN CLEARING CORP.
November 6, 1998 - September 1, 2004
J.P. MORGAN SECURITIES LLC
July 1, 1998 - October 22, 1998
CIBC WORLD MARKETS CORP.
July 23, 1996 - June 24, 1998
MORGAN STANLEY & CO. LLC
January 20, 1993 - June 20, 1996
NOMURA SECURITIES INTERNATIONAL, INC.
February 28, 1991 - July 26, 1991
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/6/2018)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq Stock Market
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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