Larry S. Wieseneck

TD SECURITIES (USA) LLC

New York, NY 10017

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CRD#: 2277006

Professional summary

Larry Scott Wieseneck, who also goes by Larry Wieseneck, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.

Larry is registered as a RR (Registered Representative) and started their career in finance in 1992. Larry has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Larry Wieseneck

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) - BD

Click below to view Larry Scott Wieseneck'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®

None

Experience

Current

March 1, 2023 - Present

TD SECURITIES (USA) LLC

Office #1: 22 Vanderbilt Avenue 20th Floor, New York, NY 10017

CRD#: 18476

New York, NY

Past

November 20, 2017 - December 10, 2024

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

October 1, 2015 - November 10, 2017

ROUNDTABLE CAPITAL SERVICES LLC

CRD#: 142784

NEW YORK, NY

Past

September 22, 2008 - June 5, 2014

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

December 5, 1997 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 21, 1995 - November 17, 1997

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

May 18, 1995 - September 6, 1995

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

September 28, 1992 - May 11, 1995

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(2/28/2024)

Exams

State Security Law Exam

Series 63

Date: 1/12/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/25/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/30/1998

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

TD SECURITIES (USA) LLC

AMERICAN GOVERNMENT SECURITIES, INC. | TORONTO DOMINION SECURITIES CORP. | TORONTO DOMINION SECURITIES (USA) INC. | TD SECURITIES (USA) LLC | TD SECURITIES (USA) INC.

CRD#: 18476 / SEC#: , 8-36747

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

One Vanderbilt Avenue, New York, NY 10017

Mailing Address

One Vanderbilt Avenue, New York, NY 10017

Phone number

(212) 827-7000

Established

Delaware since 11/01/2004

Firm type

Limited Liability Company

Fiscal year end

October

Firm Size

Large

# of Employees

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.

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Advisor Monitoring

Firm Stability Insights

Larry S. Wieseneck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Larry Scott Wieseneck's CRS (Customer Relationship Summary).

Certified licenses

Experience

COWEN AND COMPANY

ROUNDTABLE CAPITAL SERVICES LLC

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

SALOMON BROTHERS INC.

J.P. MORGAN SECURITIES INC.

SALOMON BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/12/1993

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/25/1992

Series 24

Date: 4/30/1998

FINRA

Nasdaq Stock Market

Current Firm

TD SECURITIES (USA) LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TD SECURITIES (USA) LLC

TRUST BUT VERIFY

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