Patrick N. Niro
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.
Patrick Nicola Niro was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1993. Patrick had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2016 - January 16, 2026
TD SECURITIES (USA) LLC
June 27, 2012 - December 22, 2015
DEUTSCHE BANK SECURITIES INC.
September 20, 2004 - April 10, 2012
BARCLAYS CAPITAL INC.
January 9, 2001 - September 21, 2004
J.P. MORGAN SECURITIES INC.
November 1, 1999 - May 1, 2001
JPMSI
June 3, 1999 - October 26, 1999
ALLY SECURITIES LLC
August 4, 1993 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
August 4, 1993 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
March 31, 1993 - May 28, 1999
LEHMAN BROTHERS INC.
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.
