JW
John J. Watson
TD PRIVATE CLIENT WEALTH LLC
Marlton, NJ 08053
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CRD#: 2237650
JW
Professional summary
John James Watson, CFP®, ChFC®, CLU®, who also goes by John J Watson, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Marlton, New Jersey.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. John has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John J Watson
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.
CRS (Client Relationship Summary) - RIA
Click below to view John James Watson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John James Watson's 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®
Experience
Current
January 17, 2014 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 336 Route 70 East 2nd Floor, Marlton, NJ 08053RIA
BD
CRD#: 164484
Marlton, NJ
Current
January 17, 2014 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 336 Route 70 East 2nd Floor, Marlton, NJ 08053RIA
BD
CRD#: 164484
Marlton, NJ
Past
November 8, 2011 - January 9, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PRINCETON, NJ
Past
January 14, 2008 - January 9, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PRINCETON, NJ
Past
February 16, 2005 - September 14, 2006
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
HADDON TOWNSHIP, NJ
Past
October 29, 2003 - January 6, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
October 29, 2003 - January 6, 2005
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
October 17, 2003 - January 6, 2005
OSAIC FA, INC.
RIA
CRD#: 3978
CHERRY HILL, NJ
Past
October 28, 2002 - August 7, 2003
QUICK & REILLY, INC.
RIA
CRD#: 11217
PHILIDELPHIA, PA
Past
October 28, 2002 - August 7, 2003
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
May 23, 2001 - February 8, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
December 8, 1995 - July 28, 1997
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
August 14, 1992 - December 13, 1995
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
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
Alabama(7/5/2016)
IAR
Alabama(7/5/2016)
RR
Arizona(6/8/2017)
IAR
Arizona(6/8/2017)
RR
California(5/30/2017)
IAR
California(5/30/2017)
RR
Colorado(2/10/2020)
IAR
Colorado(2/10/2020)
RR
Connecticut(5/30/2017)
IAR
Connecticut(5/30/2017)
RR
Delaware(5/30/2017)
IAR
Delaware(5/30/2017)
RR
Florida(7/28/2014)
IAR
Florida(7/29/2014)
RR
Idaho(3/14/2019)
IAR
Idaho(3/14/2019)
RR
Illinois(1/28/2019)
IAR
Illinois(1/28/2019)
RR
Maine(5/30/2017)
IAR
Maine(5/30/2017)
RR
Maryland(5/30/2017)
IAR
Maryland(5/30/2017)
RR
Massachusetts(3/14/2019)
IAR
Massachusetts(6/21/2019)
RR
Missouri(8/16/2017)
IAR
Missouri(8/16/2017)
RR
New Hampshire(3/14/2019)
IAR
New Hampshire(3/14/2019)
RR
New Jersey(1/17/2014)
IAR
New Jersey(1/24/2014)
RR
New York(1/17/2014)
IAR
New York(8/19/2021)
RR
North Carolina(5/30/2017)
IAR
North Carolina(5/30/2017)
RR
Ohio(5/30/2017)
IAR
Ohio(5/30/2017)
RR
Pennsylvania(1/17/2014)
IAR
Pennsylvania(1/17/2014)
RR
Rhode Island(5/30/2017)
IAR
Rhode Island(5/30/2017)
RR
South Carolina(5/30/2017)
IAR
South Carolina(5/30/2017)
RR
South Dakota(3/14/2019)
IAR
South Dakota(3/15/2019)
RR
Tennessee(3/14/2019)
RR
Texas(7/28/2014)
IAR
Texas(7/28/2014)
RR
Vermont(3/14/2019)
IAR
Vermont(3/14/2019)
RR
Virginia(7/21/2015)
IAR
Virginia(7/21/2015)
IAR
Wyoming(2/27/2024)
RR
Wyoming(3/7/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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
662
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
