AS
Andrew Stein
TD SECURITIES (USA) LLC
New York, NY 10017
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CRD#: 2424362
AS
Professional summary
Andrew Stein is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1994. Andrew has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Andrew Stein'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
April 4, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017BD
CRD#: 18476
New York, NY
Past
May 1, 2006 - December 10, 2024
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
February 12, 1999 - April 27, 2006
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
January 21, 1994 - February 17, 1999
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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(2/6/2025)
RR
Alaska(2/6/2025)
RR
Arizona(2/6/2025)
RR
Arkansas(2/6/2025)
RR
California(2/6/2025)
RR
Colorado(2/6/2025)
RR
Connecticut(2/6/2025)
RR
Delaware(2/6/2025)
RR
District of Columbia(2/6/2025)
RR
Florida(2/6/2025)
RR
Georgia(2/6/2025)
RR
Hawaii(2/6/2025)
RR
Idaho(2/6/2025)
RR
Illinois(2/6/2025)
RR
Indiana(2/6/2025)
RR
Iowa(2/6/2025)
RR
Kansas(2/6/2025)
RR
Kentucky(2/6/2025)
RR
Louisiana(2/6/2025)
RR
Maine(2/6/2025)
RR
Maryland(2/6/2025)
RR
Massachusetts(2/6/2025)
RR
Michigan(2/6/2025)
RR
Minnesota(2/6/2025)
RR
Mississippi(2/6/2025)
RR
Missouri(2/6/2025)
RR
Montana(2/6/2025)
RR
Nebraska(2/6/2025)
RR
Nevada(2/6/2025)
RR
New Hampshire(2/6/2025)
RR
New Jersey(2/6/2025)
RR
New Mexico(2/6/2025)
RR
New York(4/4/2024)
RR
North Carolina(2/6/2025)
RR
North Dakota(2/6/2025)
RR
Ohio(2/6/2025)
RR
Oklahoma(2/6/2025)
RR
Oregon(2/6/2025)
RR
Pennsylvania(2/6/2025)
RR
Puerto Rico(2/6/2025)
RR
Rhode Island(2/6/2025)
RR
South Carolina(2/6/2025)
RR
South Dakota(2/6/2025)
RR
Tennessee(2/6/2025)
RR
Texas(2/6/2025)
RR
Utah(2/6/2025)
RR
Vermont(2/6/2025)
RR
Virginia(2/6/2025)
RR
Washington(2/6/2025)
RR
West Virginia(2/6/2025)
RR
Wisconsin(2/6/2025)
RR
Wyoming(2/6/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/4/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
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.
