Thomas J. Curry

TD PRIVATE CLIENT WEALTH

New York, NY 10017

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CRD#: 2562267

Professional summary

Thomas Joseph Curry, who also goes by Tom Joseph Curry, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in New York, New York.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Joseph Curry

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) - RIA

Click below to view Thomas Joseph Curry's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Thomas Joseph Curry'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®

None

Experience

Current

May 5, 2026 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 1 Vanderbilt Avenue 23rd Floor, New York, NY 10017

RIA

CRD#: 164484

New York, NY

Current

May 5, 2026 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 1 Vanderbilt Avenue 23rd Floor, New York, NY 10017

RIA

CRD#: 164484

New York, NY

Past

August 17, 2022 - December 17, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

HAUPPAUGE, NY

Past

August 17, 2022 - December 17, 2025

LPL FINANCIAL LLC

CRD#: 6413

HAUPPAUGE, NY

Past

July 10, 2020 - August 17, 2022

PEOPLE'S UNITED ADVISORS, INC.

RIA

CRD#: 292454

HAUPPAUGE, NY

Past

October 21, 2013 - March 31, 2020

PEOPLE'S SECURITIES, INC.

RIA

CRD#: 13704

FAIRFIELD, CT

Past

October 17, 2013 - August 17, 2022

PEOPLE'S SECURITIES, INC.

CRD#: 13704

FAIRFIELD, CT

Past

June 29, 2009 - October 8, 2013

CAPITAL ONE FINANCIAL ADVISORS LLC

RIA

CRD#: 127236

MELVILLE, NY

Past

January 3, 2005 - October 8, 2013

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

BOHEMIA, NY

Past

January 2, 2004 - January 3, 2005

GREENPOINT SECURITIES LLC

CRD#: 127042

LAKE SUCCESS, NY

Past

November 22, 1999 - January 2, 2004

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

October 1, 1998 - November 4, 1999

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

January 3, 1995 - September 30, 1998

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

December 6, 1994 - December 31, 1994

MARKETING ONE SECURITIES, INC.

CRD#: 16611

PORTLAND, OR

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

Connecticut
(5/5/2026)

IAR

Connecticut
(5/5/2026)

Florida
(5/5/2026)

IAR

Florida
(5/6/2026)

New Jersey
(5/5/2026)

IAR

New Jersey
(5/5/2026)

New York
(5/5/2026)

IAR

New York
(5/5/2026)

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: 6/27/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/9/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/5/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 12/6/2021

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/25/2002

General Securities Principal 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)

PREMIUM

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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

671

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 2026 (1/29/2026)

TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2026 (1/29/2026)

Direct owners and executive officers

Name	Position	CRD#
TD BANK, NATIONAL ASSOCIATION	OWNER
BEGUN, ROBERT	PRESIDENT	4436053
CALDERON NAJERA, NAYRA	CCO	5040972
CARROLL, ANNA	COO	4487506
CHABOT, ALAN J	CEO	2617874
ORTIZ, JORGE LUIS	CFO & FINOP	2725922
WILSON, KEVIN KEITH	FINOP	5437711

Regulatory assets under management

Total Number of Accounts	25,697
AUM (Assets Under Management)	$ 8,255,945,350

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

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

Thomas J. Curry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Curry's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Thomas Joseph Curry's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PEOPLE'S UNITED ADVISORS, INC.

PEOPLE'S SECURITIES, INC.

PEOPLE'S SECURITIES, INC.

CAPITAL ONE FINANCIAL ADVISORS LLC

CAPITAL ONE INVESTMENT SERVICES LLC

GREENPOINT SECURITIES LLC

ESSEX NATIONAL SECURITIES, LLC

IFMG SECURITIES, INC.

INVEST FINANCIAL CORPORATION

MARKETING ONE SECURITIES, INC.

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/27/2009

Series 63

Date: 12/9/1994

SIE

Date: 10/1/2018

Series 7

Date: 12/5/1994

Series 51

Date: 12/6/2021

Series 24

Date: 3/25/2002

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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