Kurt M. Weisenfluh
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.
Kurt Montgomery Weisenfluh, who also goes by Kurt M Weisenfluh, was a registered financial professional .
Kurt is a previously registered financial professional and started their career in finance in 1992. Kurt had worked at 11 firms and has passed the Series 63, Series 72, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2021 - August 21, 2023
TD SECURITIES (USA) LLC
April 6, 2018 - April 22, 2021
BNY MELLON CAPITAL MARKETS, LLC
August 8, 2017 - March 26, 2018
ODEON CAPITAL GROUP LLC
June 27, 2016 - May 16, 2017
NATHAN HALE CAPITAL, LLC
April 15, 2009 - July 3, 2014
BLACKROCK EXECUTION SERVICES
April 4, 2007 - January 2, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 23, 2004 - February 2, 2007
LEHMAN BROTHERS INC.
May 18, 2001 - June 15, 2004
MERRILL LYNCH GOVERNMENT SECURITIES INC.
May 14, 2001 - June 15, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 10, 1996 - May 10, 2001
J.P. MORGAN SECURITIES LLC
February 26, 1996 - September 10, 1996
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
October 11, 1992 - February 29, 1996
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
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent 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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