CD
Charles G. Dyer
TD SECURITIES (USA) LLC
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 2304146
CD
Professional summary
Charles Gibson 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.
CRS (Client Relationship Summary) - BD
Click below to view Charles Gibson 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®
NoneExperience
Current
December 9, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: 1 Maritime Plaza 9th Floor, San Francisco, CA 94111BD
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
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
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)
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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.
