Michael R. Mccabe
Professional summary
Michael Robert Mccabe is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Jacksonville, Florida.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7, Series 9, Series 10, Series 24, Series 23, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael Robert Mccabe's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Robert Mccabe's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 9, 2020 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 9715 Gate Parkway North, Jacksonville, FL 32246March 4, 2020 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 9715 Gate Parkway North, Jacksonville, FL 32246November 19, 2012 - February 5, 2020
TD AMERITRADE, INC.
November 19, 2012 - February 5, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 19, 2012 - February 5, 2020
TD AMERITRADE, INC.
October 23, 2009 - October 25, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - October 25, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 25, 2002 - October 20, 2004
QUICK & REILLY, INC.
January 6, 1997 - October 20, 2004
QUICK & REILLY, INC.
October 23, 1995 - November 21, 1996
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/4/2020)
(3/9/2020)
(10/8/2024)
(10/9/2024)
(1/12/2024)
(1/16/2024)
(4/8/2024)
(4/24/2024)
(1/12/2024)
(1/16/2024)
(1/12/2024)
(1/12/2024)
(2/6/2024)
(2/6/2024)
(2/6/2024)
(2/7/2024)
(1/12/2024)
(1/16/2024)
(9/16/2024)
(1/8/2025)
(1/8/2025)
(1/12/2024)
(1/12/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 2/22/1999
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
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.
Company Information
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484Jacksonville, FL 32246TRUST BUT VERIFY
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