Jeffrey T. Froio
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.
Jeffrey Todd Froio, who also goes by Jeffrey Todd Frioio, Jeffrey T Froio, Jeffrey Froio, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1994. Jeffrey had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2010 - June 9, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 12, 2010 - June 9, 2020
TD AMERITRADE, INC.
October 8, 2010 - June 9, 2020
TD AMERITRADE, INC.
July 1, 2009 - October 7, 2010
NYLIFE SECURITIES LLC
May 4, 2006 - April 8, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 13, 2005 - April 8, 2008
TD AMERITRADE, INC.
May 12, 2005 - April 8, 2008
TD AMERITRADE, INC.
October 20, 2004 - May 9, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - May 9, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 31, 2004 - October 20, 2004
QUICK & REILLY, INC.
October 23, 2002 - October 20, 2004
QUICK & REILLY, INC.
September 16, 1997 - October 25, 2002
FIDELITY BROKERAGE SERVICES LLC
September 12, 1994 - September 16, 1997
FIDELITY DISTRIBUTORS COMPANY LLC
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 AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
