Brian J. Hartigan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brian Joseph Hartigan, who also goes by Brian Hartigan, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1996. Brian had worked at 6 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2000 - December 31, 2024
TD SECURITIES (USA) LLC
February 16, 2000 - July 10, 2000
HUDSON SECURITIES,INC.
November 1, 1999 - January 27, 2000
ALLEGIANCE SECURITIES, L.L.C.
May 25, 1999 - November 8, 1999
GARDEN STATE SECURITIES, INC.
September 17, 1997 - November 19, 1998
TD SECURITIES (USA) LLC
March 7, 1997 - September 10, 1997
JEFFERIES LLC
September 19, 1996 - January 17, 1997
PERSHING ADVISOR SOLUTIONS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/11/2000
Limited Representative-Equity Trader ExamCurrent Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
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.
