Marc X. Connolly

TD PRIVATE CLIENT WEALTH LLC

Cranford, NJ 07016

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CRD#: 2488059

Professional summary

Marc X Connolly, CIMA®, who also goes by Marc Xavier Connolly, Marc Connolly, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Cranford, New Jersey.

Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Marc has worked at 15 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marc Xavier Connolly | Marc Connolly

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.

Name: Rental Property to college students in Fairfield CT, Role: Property Owner, Start Date: 09/08/2020, Investment Related?: No, Address: 709 Fairfield Beach Rd, Fairfield, CT 06824, Duties: Real Estate owner for rental income

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc X Connolly's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Marc X Connolly's CRS (Customer Relationship Summary).

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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

November 6, 2024 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 465 South Avenue East, Cranford, NJ 07016

RIA

CRD#: 164484

Cranford, NJ

Current

November 5, 2024 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 70 Morristown Road, Bernardsville, NJ 07924

RIA

CRD#: 164484

Bernardsville, NJ

Past

May 6, 2024 - June 13, 2024

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

PARAMUS, NJ

Past

May 3, 2024 - June 13, 2024

RBC CAPITAL MARKETS, LLC

CRD#: 31194

PARAMUS, NJ

Past

January 26, 2022 - January 10, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

New York City, NY

Past

January 26, 2022 - January 10, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

New York City, NY

Past

August 4, 2016 - September 7, 2023

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

New York, NY

Past

August 1, 2016 - October 14, 2022

TD AMERITRADE, INC.

RIA

CRD#: 7870

NEW YORK, NY

Past

May 24, 2016 - December 20, 2023

TD AMERITRADE, INC.

CRD#: 7870

NEW YORK, NY

Past

October 23, 2012 - April 8, 2015

FINANCIAL PRODUCTS, LLC

CRD#: 153479

NEW YORK, NY

Past

June 8, 2011 - August 10, 2012

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

CRD#: 21771

NEW YORK, NY

Past

November 6, 2009 - March 25, 2011

BLACKROCK FUND DISTRIBUTION COMPANY

CRD#: 146183

JERSEY CITY, NJ

Past

December 6, 2007 - March 25, 2011

BLACKROCK FUND ADVISORS

RIA

CRD#: 105247

JERSEY CITY, NJ

Past

December 6, 2007 - December 31, 2009

BLACKROCK EXECUTION SERVICES

CRD#: 39438

JERSEY CITY, NJ

Past

May 23, 2002 - May 25, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PARAMUS, NJ

Past

August 20, 1997 - May 25, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PARAMUS, NJ

Past

July 2, 1997 - September 15, 1997

MORGAN GRANT CAPITAL CORP.

CRD#: 28595

GARDEN CITY, NY

Past

April 3, 1995 - July 18, 1997

INVESTORS ASSOCIATES, INC.

CRD#: 958

HACKENSACK, NJ

Past

February 6, 1995 - March 7, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 29, 1994 - January 31, 1995

C. J. M. PLANNING CORP.

CRD#: 5698

POMPTON LAKES, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

New Jersey
(11/5/2024)

IAR

New Jersey
(11/6/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/28/2016

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/28/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/3/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/15/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/28/1994

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017

Mailing Address

1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017

Phone number

(877) 703-9896

Established

Delaware since 07/13/2012

Firm type

Limited Liability Company

Fiscal year end

October

Firm Size

Large

# of Employees

662

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TD PRIVATE CLIENT WEALTH LLC MANAGED ACCOUNT PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

Direct owners and executive officers

Name	Position	CRD#
TD BANK, NATIONAL ASSOCIATION	OWNER
BEAM, JAMES HENRY JR.	PRESIDENT	4274924
CALDERON NAJERA, NAYRA	CCO	5040972
CHABOT, ALAN J	CEO	2617874
ORTIZ, JORGE LUIS	CFO & FINOP	2725922
SCHAUTZ, JOHN LOUIS III	COO	1430568
WILSON, KEVIN KEITH	FINOP	5437711

Regulatory assets under management

Total Number of Accounts	17,824
AUM (Assets Under Management)	$ 6,450,375,507

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/30/2025	Cover Page	Report
09/27/2024	Cover Page	Report
06/27/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Marc X. Connolly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc X Connolly's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Marc X Connolly's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

FINANCIAL PRODUCTS, LLC

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BLACKROCK FUND DISTRIBUTION COMPANY

BLACKROCK FUND ADVISORS

BLACKROCK EXECUTION SERVICES

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN GRANT CAPITAL CORP.

INVESTORS ASSOCIATES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

C. J. M. PLANNING CORP.

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/28/2016

Series 65

Date: 8/28/1997

Series 63

Date: 6/3/1994

SIE

Date: 10/1/2018

Series 31

Date: 3/15/2004

Series 7

Date: 9/28/1994

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

TD PRIVATE CLIENT WEALTH LLC

TRUST BUT VERIFY

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