GH
Geoff M. Heyman
TD SECURITIES (USA) LLC
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 2473843
GH
Professional summary
Geoff Mitchell Heyman, who also goes by Geoff Mitchell Heyman, is a registered financial professional currently at TD SECURITIES (USA) LLC located in San Francisco, California.
Geoff is registered as a RR (Registered Representative) and started their career in finance in 1994. Geoff has worked at 11 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
Geoff Mitchell Heyman
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 Geoff Mitchell Heyman'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
December 9, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: 1 Maritime Plaza 9th Floor, San Francisco, CA 94111BD
CRD#: 18476
San Francisco, CA
Past
June 20, 2016 - December 9, 2024
COWEN AND COMPANY
BD
CRD#: 7616
San Francisco, CA
Past
June 20, 2016 - December 13, 2024
TD ARRANGED SERVICES LLC
BD
CRD#: 122529
NEW YORK, NY
Past
October 6, 2014 - November 17, 2014
MERRIMAN CAPITAL, INC.
BD
CRD#: 18296
NEW YORK, NY
Past
April 23, 2012 - November 5, 2012
THINKEQUITY LLC
BD
CRD#: 44274
SAN FRANCISCO, CA
Past
July 9, 2007 - December 15, 2011
JEFFERIES LLC
BD
CRD#: 2347
SAN FRANCISCO, CA
Past
October 29, 2004 - June 21, 2007
UBS SECURITIES LLC
BD
CRD#: 7654
SAN FRANCISCO, CA
Past
July 8, 2002 - November 1, 2004
UBS CAPITAL MARKETS L.P.
BD
CRD#: 2692
STAMFORD, CT
Past
January 27, 1999 - July 29, 2002
THOMAS WEISEL PARTNERS LLC
BD
CRD#: 46237
SAN FRANCISCO, CA
Past
October 1, 1997 - January 15, 1999
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
April 29, 1994 - October 1, 1997
MONTGOMERY SECURITIES
BD
CRD#: 4357
SAN FRANCISCO, CA
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(2/10/2025)
RR
Alaska(2/10/2025)
RR
Arizona(2/10/2025)
RR
Arkansas(2/10/2025)
RR
California(12/9/2024)
RR
Colorado(2/10/2025)
RR
Connecticut(2/10/2025)
RR
Delaware(2/10/2025)
RR
District of Columbia(2/10/2025)
RR
Florida(2/10/2025)
RR
Georgia(2/10/2025)
RR
Hawaii(2/10/2025)
RR
Idaho(2/10/2025)
RR
Illinois(2/10/2025)
RR
Indiana(2/10/2025)
RR
Iowa(2/10/2025)
RR
Kansas(2/10/2025)
RR
Kentucky(2/10/2025)
RR
Louisiana(2/10/2025)
RR
Maine(2/10/2025)
RR
Maryland(2/10/2025)
RR
Massachusetts(2/10/2025)
RR
Michigan(2/10/2025)
RR
Minnesota(2/10/2025)
RR
Mississippi(2/10/2025)
RR
Missouri(2/10/2025)
RR
Montana(2/10/2025)
RR
Nebraska(2/10/2025)
RR
Nevada(2/10/2025)
RR
New Hampshire(2/10/2025)
RR
New Jersey(2/10/2025)
RR
New Mexico(2/10/2025)
RR
New York(12/9/2024)
RR
North Carolina(2/10/2025)
RR
North Dakota(2/10/2025)
RR
Ohio(2/12/2025)
RR
Oklahoma(2/10/2025)
RR
Oregon(2/10/2025)
RR
Pennsylvania(2/10/2025)
RR
Puerto Rico(2/10/2025)
RR
Rhode Island(2/10/2025)
RR
South Carolina(2/10/2025)
RR
South Dakota(2/10/2025)
RR
Tennessee(2/10/2025)
RR
Texas(2/10/2025)
RR
Utah(2/10/2025)
RR
Vermont(2/10/2025)
RR
Virginia(2/10/2025)
RR
Washington(2/10/2025)
RR
West Virginia(2/10/2025)
RR
Wisconsin(2/10/2025)
RR
Wyoming(2/10/2025)
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: 3/28/2006
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
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.
