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GR

Grant D. Rice

TD SECURITIES (USA) LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2452618
GR

Professional summary

Grant Douglas Rice is a registered financial professional currently at TD SECURITIES (USA) LLC located in Chicago, Illinois.

Grant is registered as a RR (Registered Representative) and started their career in finance in 1997. Grant has worked at 9 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Grant Douglas Rice'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®
None

Experience

Current

July 28, 2022 - Present

TD SECURITIES (USA) LLC

Office #1: 71 S. Wacker Drive Suite 3000, Chicago, IL 60606
BD
CRD#: 18476
Chicago, IL
Past

September 13, 2013 - July 22, 2022

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
CHICAGO, IL
Past

October 25, 2007 - July 25, 2013

JEFFERIES LLC

BD
CRD#: 2347
CHICAGO, IL
Past

July 1, 2003 - August 24, 2007

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC
Past

March 3, 2003 - July 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

November 6, 2000 - December 10, 2002

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

September 30, 1998 - October 11, 1999

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

September 3, 1997 - October 24, 1998

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

May 9, 1997 - September 2, 1997

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
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
Illinois
(7/28/2022)
RR
New York
(7/28/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 6/23/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/8/1997
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TORONTO DOMINION HOLDINGS (U.S.A.), INC.PARENT
BROADBERY, MICHAELCHIEF COMPLIANCE OFFICER6947899
GIBSON, GLENNCHIEF EXECUTIVE OFFICER5659024
JENKINS, CHRISTINE JFINANCIAL & OPERATIONS PRINCIPAL4911933
ORTIZ, JORGE LUISCHIEF FINANCIAL OFFICER2725922
PETROU, CHRISTINA ACHIEF OPERATING OFFICER4007468

Disclosures

Regulatory Event20
Criminal1

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.

Company Information

TD SECURITIES (USA) LLC

CRD#: 18476Chicago, IL 60606

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