Matthew J. Nizich
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.
Matthew John Nizich, who also goes by Matthew John Nizich, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1991. Matthew had worked at 13 firms and has passed the Series 63, Series 57TO, Series 52TO, SIE, Series 7, Series 9, Series 10, Series 4, Series 8 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
December 9, 2024 - March 31, 2025
TD SECURITIES (USA) LLC
December 5, 2017 - July 21, 2020
COWEN EXECUTION SERVICES LLC
June 18, 2013 - March 24, 2015
COWEN EQUITY FINANCE LP
March 23, 2012 - December 13, 2024
TD ARRANGED SERVICES LLC
October 26, 2005 - December 9, 2024
COWEN AND COMPANY
May 2, 2003 - October 17, 2005
CIBC WORLD MARKETS CORP.
February 4, 2003 - April 14, 2003
PUGLISI & CO.
February 14, 2002 - September 30, 2002
COMMERZ MARKETS LLC
April 14, 2000 - September 30, 2002
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.
April 6, 2000 - September 30, 2002
DRESDNER KLEINWORT WASSERSTEIN, LLC
February 22, 1999 - March 22, 2000
HERZOG, HEINE, GEDULD, LLC
March 7, 1996 - March 3, 1999
CIBC WORLD MARKETS CORP.
September 26, 1994 - March 12, 1996
UBS SECURITIES LLC
February 4, 1991 - September 16, 1994
KIDDER, PEABODY & CO. INCORPORATED
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 10/9/1996
General Securities Sales Supervisor Examination (Options Module & General Module)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
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.
