Edward Mezzacappa

TD PRIVATE CLIENT WEALTH LLC

Brooklyn, NY 11209

Some features on this profile are disabled

CRD#: 2343104

Professional summary

Edward Mezzacappa is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Brooklyn, New York.

Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Edward has worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1) NAME OF OTHER BUSINESS: MF LIMITLESS LLC; INVESTMENT RELATED: NO; ADDRESS: 172 JEROME AVENUE STATEN ISLAND NY 10305; NATURE OF BUSINESS: ONLINE E COMMERCE; START DATE: 10/2020; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ONLINE E COMMERCE STORE, AMAZON STORE;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Mezzacappa's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Edward Mezzacappa's CRS (Customer Relationship Summary).

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

November 4, 2024 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 8206 Fifth Avenue, Brooklyn, NY 11209

RIA

CRD#: 164484

Brooklyn, NY

Current

November 4, 2024 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 1 Vanderbilt Avenue 23rd Floor, New York, NY 10017

RIA

CRD#: 164484

New York, NY

Past

June 24, 2019 - October 28, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

STATEN ISLAND, NY

Past

June 21, 2019 - October 28, 2024

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

STATEN ISLAND, NY

Past

January 26, 2018 - June 26, 2019

FIRST STANDARD FINANCIAL COMPANY LLC

CRD#: 168340

RED BANK, NJ

Past

December 4, 2013 - November 29, 2017

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

BROOKLYN, NY

Past

November 4, 2013 - November 29, 2017

HSBC SECURITIES (USA) INC.

CRD#: 19585

BROOKLYN, NY

Past

August 16, 2011 - October 21, 2013

CAPITAL ONE FINANCIAL ADVISORS LLC

RIA

CRD#: 127236

MELVILLE, NY

Past

August 9, 2011 - October 21, 2013

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

BROOKLYN, NY

Past

January 26, 2011 - August 12, 2011

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

BROOKLYN, NY

Past

June 17, 2008 - February 4, 2011

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

STATEN ISLAND, NY

Past

March 2, 2001 - June 19, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

STATEN ISLAND, NY

Past

September 18, 1996 - March 7, 2001

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

March 4, 1996 - September 18, 1996

CHEMICAL INVESTMENT SERVICES CORP.

CRD#: 36312

Past

February 21, 1995 - January 29, 1996

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

May 24, 1993 - September 7, 1994

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

May 24, 1993 - September 7, 1994

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

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.

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 Jersey
(6/2/2025)

IAR

New Jersey
(6/2/2025)

New York
(11/4/2024)

IAR

New York
(11/4/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/31/2017

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/5/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/21/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/24/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/21/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/31/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 5/17/1999

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TD PRIVATE CLIENT WEALTH LLC MANAGED ACCOUNT PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

Direct owners and executive officers

Name	Position	CRD#
TD BANK, NATIONAL ASSOCIATION	OWNER
BEAM, JAMES HENRY JR.	PRESIDENT	4274924
CALDERON NAJERA, NAYRA	CCO	5040972
CHABOT, ALAN J	CEO	2617874
ORTIZ, JORGE LUIS	CFO & FINOP	2725922
SCHAUTZ, JOHN LOUIS III	COO	1430568
WILSON, KEVIN KEITH	FINOP	5437711

Regulatory assets under management

Total Number of Accounts	17,824
AUM (Assets Under Management)	$ 6,450,375,507

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/30/2025	Cover Page	Report
09/27/2024	Cover Page	Report
06/27/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

Matthew James Wang

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Edward Mezzacappa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Mezzacappa's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Edward Mezzacappa's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

FIRST STANDARD FINANCIAL COMPANY LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

CAPITAL ONE FINANCIAL ADVISORS LLC

CAPITAL ONE INVESTMENT SERVICES LLC

ALLSTATE FINANCIAL SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

CHASE INVESTMENT SERVICES CORP.

CHEMICAL INVESTMENT SERVICES CORP.

CAPITAL BROKERAGE CORPORATION

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/31/2017

Series 65

Date: 10/5/1998

Series 63

Date: 5/21/1993

SIE

Date: 10/1/2018

Series 7

Date: 4/24/1996

Series 6

Date: 5/21/1993

Series 24

Date: 5/31/2001

Series 26

Date: 5/17/1999

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

TD PRIVATE CLIENT WEALTH LLC

TRUST BUT VERIFY

Similar Advisors