Paul M. Mutter
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.
Paul Michael Mutter, who also goes by Paul M Mutter, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1998. Paul had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 24, Series 23, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2024 - December 19, 2025
TD SECURITIES (USA) LLC
March 14, 2022 - April 17, 2023
CANTOR FITZGERALD & CO.
September 10, 2021 - April 17, 2023
GFI SECURITIES LLC
January 15, 2021 - April 17, 2023
BGC FINANCIAL, L.P.
February 25, 2020 - April 17, 2023
FMX EXECUTION, LLC
October 31, 2019 - March 14, 2022
CANTOR FITZGERALD & CO.
November 4, 1998 - November 26, 2019
GOLDMAN SACHS & CO. LLC
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
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 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
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.
