Suzanne P. Holmes
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.
Suzanne Patterson Holmes, who also goes by Suzanne Holmes, Suzanne Patterson, Suzanne Perez, was a registered financial professional .
Suzanne is a previously registered financial professional and started their career in finance in 1993. Suzanne had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2016 - September 10, 2019
TD PRIVATE CLIENT WEALTH LLC
April 22, 2016 - September 10, 2019
TD PRIVATE CLIENT WEALTH LLC
April 20, 2012 - March 28, 2016
PNC WEALTH MANAGEMENT LLC
December 20, 2010 - March 28, 2016
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - December 31, 2009
PNC WEALTH MANAGEMENT LLC
July 22, 2008 - November 13, 2009
NATCITY INVESTMENTS, INC.
December 6, 2007 - May 1, 2008
WELLS FARGO CLEARING SERVICES, LLC
June 22, 2004 - December 31, 2005
WELLS FARGO CLEARING SERVICES, LLC
August 8, 2002 - March 22, 2004
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
December 17, 2001 - April 23, 2002
MGI FUNDS DISTRIBUTORS, LLC
October 1, 2000 - November 21, 2000
WELLS FARGO CLEARING SERVICES, LLC
November 4, 1993 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
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 PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
