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GP

Gavin J. Parker

TD PRIVATE CLIENT WEALTH LLC
Portland, ME 04101
Some features on this profile are disabled
CRD#: 2104334
GP

Professional summary

Gavin James Parker, who also goes by Gavin James Parker, Gavin Parker, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Portland, Maine.

Gavin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Gavin has worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Gavin James Parker | Gavin Parker

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gavin James Parker's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Gavin James Parker's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 26, 2023 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 1 Portland Square, Portland, ME 04101
RIA
BD
CRD#: 164484
Portland, ME
Current

June 15, 2023 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 1 Portland Square, Portland, ME 04101
RIA
BD
CRD#: 164484
Portland, ME
Past

January 19, 2021 - June 5, 2023

CITIZENS SECURITIES, INC.

RIA
CRD#: 39550
Fort Washington, PA
Past

January 19, 2021 - June 5, 2023

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
Fort Washington, PA
Past

November 27, 2013 - December 31, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
Radnor, PA
Past

November 27, 2013 - January 11, 2021

TD AMERITRADE, INC.

RIA
CRD#: 7870
RADNOR, PA
Past

July 9, 2013 - January 11, 2021

TD AMERITRADE, INC.

BD
CRD#: 7870
RADNOR, PA
Past

June 2, 2011 - July 11, 2013

MORGAN STANLEY

BD
CRD#: 149777
SYRACUSE, NY
Past

April 1, 2009 - May 19, 2011

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SYRACUSE, NY
Past

October 23, 2006 - March 4, 2009

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
SYRACUSE, NY
Past

January 10, 2006 - October 27, 2006

NYLIFE SECURITIES LLC

BD
CRD#: 5167
DEWITT, NY
Past

October 20, 2004 - February 16, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
ROCHESTER, NY
Past

October 20, 2004 - February 16, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

June 10, 2004 - October 20, 2004

QUICK & REILLY, INC.

RIA
CRD#: 11217
ROCHESTER, NY
Past

August 21, 2002 - October 20, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

January 26, 2001 - August 20, 2002

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
NEW YORK, NY
Past

November 24, 1997 - October 3, 2000

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

February 13, 1991 - November 11, 1997

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

February 13, 1991 - November 11, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
Maine
(6/26/2023)
IAR
Maine
(6/26/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/26/2013
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/1/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/4/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/11/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/21/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/2/2002
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/4/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/27/1999
Investment Company Products/Variable Contracts Principal Examination
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
671

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

TD PRIVATE CLIENT WEALTH LLC MANAGED ACCOUNT PROGRAM BROCHURE JANUARY 31 2026 (1/29/2026)
TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2026 (1/29/2026)

Direct owners and executive officers

NamePositionCRD#
TD BANK, NATIONAL ASSOCIATIONOWNER
BEGUN, ROBERTPRESIDENT4436053
CALDERON NAJERA, NAYRACCO5040972
CARROLL, ANNACOO4487506
CHABOT, ALAN JCEO2617874
ORTIZ, JORGE LUISCFO & FINOP2725922
WILSON, KEVIN KEITHFINOP5437711

Regulatory assets under management

Total Number of Accounts25,697
AUM (Assets Under Management)$ 8,255,945,350

Disclosures

Regulatory Event3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
05/30/2025
Cover Page
Report
09/27/2024
Cover Page
Report
06/27/2023
Cover Page
Report

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.

Company Information

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484Portland, ME 04101

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