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CD

Charles Dyer

TD SECURITIES (USA)
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 2304146
CD

Professional summary

Charles Dyer, who also goes by Charles Gibson Dyer Jr, Gib Dyer, is a registered financial professional currently at TD SECURITIES (USA) LLC located in San Francisco, California.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1993. Charles has worked at 10 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles Gibson Dyer Jr | Gib Dyer

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 Charles Dyer'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

December 9, 2024 - Present

TD SECURITIES (USA) LLC

Office #1: 1 Maritime Plaza 9th Floor, San Francisco, CA 94111
BD
CRD#: 18476
San Francisco, CA
Past

June 2, 2006 - December 9, 2024

COWEN AND COMPANY

BD
CRD#: 7616
San Francisco, CA
Past

May 11, 2006 - June 13, 2006

URCHIN CAPITAL PARTNERS, LLC

BD
CRD#: 45691
SAN FRANCISCO, CA
Past

October 17, 2002 - January 13, 2005

HAKALA CAPITAL MANAGEMENT, LLC

RIA
CRD#: 112498
SAN FRANCISCO, CA
Past

April 10, 2001 - January 12, 2005

COWEN PRIME SERVICES TRADING LLC

BD
CRD#: 23857
NEW YORK, NY
Past

October 23, 2000 - March 16, 2001

ROBERTSON STEPHENS, INC.

BD
CRD#: 41271
SAN FRANCISCO, CA
Past

April 21, 1998 - October 25, 2000

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

July 14, 1997 - April 16, 1998

MAM SECURITIES, LLC

BD
CRD#: 41140
SAN FRANCISCO, CA
Past

May 23, 1997 - July 7, 1997

MONTGOMERY SECURITIES

BD
CRD#: 4357
SAN FRANCISCO, CA
Past

February 18, 1993 - July 24, 1993

HAWTHORNE DISTRIBUTORS CORP.

BD
CRD#: 25880

State Registrations and Notice Filings

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

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
(2/11/2025)
RR
Alaska
(2/11/2025)
RR
Arizona
(2/11/2025)
RR
Arkansas
(2/11/2025)
RR
California
(12/9/2024)
RR
Colorado
(12/9/2024)
RR
Connecticut
(2/11/2025)
RR
Delaware
(2/11/2025)
RR
District of Columbia
(2/11/2025)
RR
Florida
(2/11/2025)
RR
Georgia
(2/11/2025)
RR
Hawaii
(2/11/2025)
RR
Idaho
(2/11/2025)
RR
Illinois
(2/11/2025)
RR
Indiana
(2/11/2025)
RR
Iowa
(2/11/2025)
RR
Kansas
(2/11/2025)
RR
Kentucky
(2/11/2025)
RR
Louisiana
(2/11/2025)
RR
Maine
(2/11/2025)
RR
Maryland
(2/11/2025)
RR
Massachusetts
(2/11/2025)
RR
Michigan
(2/11/2025)
RR
Minnesota
(2/11/2025)
RR
Mississippi
(2/11/2025)
RR
Missouri
(2/11/2025)
RR
Montana
(2/11/2025)
RR
Nebraska
(2/11/2025)
RR
Nevada
(12/9/2024)
RR
New Hampshire
(2/11/2025)
RR
New Jersey
(2/11/2025)
RR
New Mexico
(2/11/2025)
RR
New York
(12/9/2024)
RR
North Carolina
(2/11/2025)
RR
North Dakota
(2/11/2025)
RR
Ohio
(2/12/2025)
RR
Oklahoma
(2/11/2025)
RR
Oregon
(12/9/2024)
RR
Pennsylvania
(2/11/2025)
RR
Puerto Rico
(2/11/2025)
RR
Rhode Island
(2/11/2025)
RR
South Carolina
(2/11/2025)
RR
South Dakota
(2/11/2025)
RR
Tennessee
(2/11/2025)
RR
Texas
(12/9/2024)
RR
Utah
(12/9/2024)
RR
Vermont
(2/11/2025)
RR
Virginia
(2/11/2025)
RR
Washington
(12/9/2024)
RR
West Virginia
(2/11/2025)
RR
Wisconsin
(2/11/2025)
RR
Wyoming
(2/11/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/11/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/22/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/21/1993
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

TS
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

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

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

Documents

Direct owners and executive officers

NamePositionCRD#
TORONTO DOMINION HOLDINGS (U.S.A.), INC.PARENT
BROADBERY, MICHAELCHIEF COMPLIANCE OFFICER6947899
GIBSON, GLENNCHIEF EXECUTIVE OFFICER5659024
ORTIZ, JORGE LUISFINANCIAL & OPERATIONS PRINCIPAL2725922
PETROU, CHRISTINA ACHIEF OPERATING OFFICER4007468
WONG, KRISTIECHIEF FINANCIAL OFFICER4725261

Disclosures

Regulatory Event20
Criminal1

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 SECURITIES (USA) LLC

CRD#: 18476San Francisco, CA 94111

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