Stephen P. Foley
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.
Stephen Patrick Foley was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1990. Stephen had worked at 9 firms and has passed the Series 63, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2008 - March 29, 2012
TD PRIME SERVICES LLC
July 23, 2007 - January 7, 2009
BATTENKILL CAPITAL, INC.
November 13, 2006 - August 2, 2007
INTEGRA SECURITIES CORP.
July 1, 2005 - November 30, 2006
FIMAT PREFERRED LLC
September 17, 2003 - July 1, 2005
PREFERREDTRADE, INC.
October 17, 2002 - October 9, 2003
KALIN ASSOCIATES, INC.
November 1, 1996 - October 22, 2002
PRIME EXECUTIONS, INC.
October 9, 1996 - April 9, 1998
FIRST OPTIONS OF CHICAGO, INC.
September 17, 1990 - April 25, 1996
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
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 25
Date: 2/8/2000
NYSE Trading Assistant ExaminationCurrent Firm
TD PRIME SERVICES LLC
CRD#: 1914 / SEC#: , 8-3337
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 | |
| BALDASSANO, MATTHEW ANTHONY | MANAGING DIRECTOR, HEAD OF PRIME SERVICES | 1645834 |
| 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/PRINCIPAL FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| PRINCIPATO, ANTHONY JOSEPH | PRINCIPAL OPERATIONS OFFICER / HEAD OF OPERATIONS |
Disclosures
| Regulatory Event | 11 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
