Alan J Chabot
Professional Summary
Alan J Chabot, who also goes by Alan James Chabot, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in New York, New York. Alan is registered as a RR (Registered Representative) and started their career in finance in 1998. Alan has worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Alan James Chabot
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
TD PRIVATE CLIENT WEALTH LLC
Contact Information
Main Address
1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017Mailing Address
1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017Phone Number
(877) 703-9896Established
Delaware since 07/13/2012Firm Type
Limited Liability CompanyFiscal Year End
OctoberFirm Size
Large# of Employees
671SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
25,698AUM (Assets Under Management)
$8,574,585,303Disclosures
Regulatory Event
3Accountant 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 |
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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.
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Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
State Registrations and Notice Filings
(8/14/2020)
(8/14/2020)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Dec 2000About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Sep 2000About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Alan J Chabot's CRS (Customer Relationship Summary).
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