SM
Suzanne M. Moran
TD PRIVATE CLIENT WEALTH LLC
Vienna, VA 22182
Some features on this profile are disabled
CRD#: 2516637
SM
Professional summary
Suzanne Mckenna Moran, AIF®, who also goes by Suzanne Teresa Mckenna, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Vienna, Virginia.
Suzanne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Suzanne has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 12 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Suzanne Teresa Mckenna
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) - RIA
Click below to view Suzanne Mckenna Moran's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Suzanne Mckenna Moran'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®
Experience
Current
January 9, 2017 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1919 Gallows Road 2nd Floor, Vienna, VA 22182RIA
BD
CRD#: 164484
Vienna, VA
Current
October 27, 2016 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1919 Gallows Road 2nd Floor, Vienna, VA 22182RIA
BD
CRD#: 164484
Vienna, VA
Past
November 27, 2013 - September 14, 2016
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
WASHINGTON, DC
Past
July 26, 2011 - December 16, 2011
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
WASHINGTON, DC
Past
May 13, 2009 - July 12, 2010
M&T SECURITIES, INC.
RIA
CRD#: 17358
ROCKVILLE, MD
Past
May 13, 2009 - August 31, 2010
WILMINGTON TRUST INVESTMENT ADVISORS, INC.
RIA
CRD#: 106909
BALTIMORE, MD
Past
March 23, 2009 - July 12, 2010
M&T SECURITIES, INC.
BD
CRD#: 17358
BALTIMORE, MD
Past
July 7, 2000 - September 27, 2007
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
MCLEAN, VA
Past
February 10, 1996 - May 21, 1996
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
November 8, 1994 - November 29, 1995
WASHINGTON INVESTMENT CORPORATION
BD
CRD#: 25727
WASHINGTON, DC
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".
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
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.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
Arizona(10/16/2018)
IAR
Arizona(10/23/2018)
RR
California(9/10/2021)
IAR
California(9/13/2021)
RR
Colorado(1/31/2018)
IAR
Colorado(1/31/2018)
RR
Connecticut(10/22/2021)
IAR
Connecticut(10/25/2021)
IAR
Delaware(1/9/2017)
RR
Delaware(1/19/2017)
RR
District of Columbia(10/27/2016)
IAR
District of Columbia(1/18/2017)
RR
Florida(1/9/2017)
IAR
Florida(1/10/2017)
RR
Georgia(1/9/2017)
IAR
Georgia(1/17/2017)
RR
Illinois(10/19/2018)
IAR
Illinois(10/19/2018)
RR
Maine(12/7/2018)
IAR
Maine(12/7/2018)
RR
Maryland(1/9/2017)
IAR
Maryland(1/9/2017)
RR
Massachusetts(7/28/2020)
IAR
Massachusetts(8/3/2020)
RR
Minnesota(11/2/2021)
IAR
Minnesota(11/3/2021)
RR
New Hampshire(10/23/2018)
IAR
New Hampshire(10/23/2018)
RR
New Jersey(10/22/2021)
IAR
New Jersey(10/25/2021)
RR
New York(10/22/2021)
IAR
New York(10/24/2021)
RR
North Carolina(1/9/2017)
IAR
North Carolina(1/9/2017)
RR
Ohio(10/27/2021)
IAR
Ohio(10/27/2021)
RR
Oregon(12/3/2021)
IAR
Oregon(12/7/2021)
RR
Pennsylvania(10/22/2021)
IAR
Pennsylvania(10/25/2021)
RR
Rhode Island(10/22/2021)
IAR
Rhode Island(10/26/2021)
RR
South Carolina(1/9/2017)
IAR
South Carolina(1/9/2017)
RR
Texas(5/18/2018)
IAR
Texas(5/18/2018)
RR
Vermont(10/22/2021)
IAR
Vermont(10/25/2021)
RR
Virginia(10/27/2016)
IAR
Virginia(1/19/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 12
Date: 12/15/2006
NYSE Branch Manager ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
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
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.
