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DR

David P. Ricciardi

TD SECURITIES (USA)
New York, NY 10017
Some features on this profile are disabled
CRD#: 2642901
DR

Professional summary

David Paul Ricciardi is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1995. David has worked at 7 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view David Paul Ricciardi'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®
None

Experience

Current

August 6, 2019 - Present

TD SECURITIES (USA) LLC

Office #1: 22 Vanderbilt Avenue 20th Floor, New York, NY 10017
BD
CRD#: 18476
New York, NY
Past

December 2, 2015 - July 24, 2019

TD SECURITIES (USA) LLC

BD
CRD#: 18476
NEW YORK, NY
Past

February 28, 2013 - November 30, 2015

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK, NY
Past

August 14, 2008 - November 23, 2012

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

May 17, 2004 - January 16, 2008

KBC SECURITIES USA LLC

BD
CRD#: 46709
NEW YORK, NY
Past

March 5, 2003 - May 7, 2004

GRAMERCY FINANCIAL SERVICES LLC

BD
CRD#: 104302
GREENWICH, CT
Past

June 5, 2000 - January 14, 2003

TD SECURITIES (USA) LLC

BD
CRD#: 18476
NEW YORK, NY
Past

July 23, 1997 - June 13, 2000

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

August 21, 1995 - July 28, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
New York
(8/6/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 11/17/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 79TO
Date: 12/2/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 6/3/2005
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/18/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/18/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

TS
TD SECURITIES (USA) LLC
AMERICAN GOVERNMENT SECURITIES, INC. | TORONTO DOMINION SECURITIES CORP. | TORONTO DOMINION SECURITIES (USA) INC. | TD SECURITIES (USA) LLC | TD SECURITIES (USA) INC.

CRD#: 18476 / SEC#: , 8-36747

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
One Vanderbilt Avenue, New York, NY 10017
Mailing Address
One Vanderbilt Avenue, New York, NY 10017
Phone number
(212) 827-7000
Established
Delaware since 11/01/2004
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TORONTO DOMINION HOLDINGS (U.S.A.), INC.PARENT
BROADBERY, MICHAELCHIEF COMPLIANCE OFFICER6947899
GIBSON, GLENNCHIEF EXECUTIVE OFFICER5659024
ORTIZ, JORGE LUISFINANCIAL & OPERATIONS PRINCIPAL2725922
PETROU, CHRISTINA ACHIEF OPERATING OFFICER4007468
WONG, KRISTIECHIEF FINANCIAL OFFICER4725261

Disclosures

Regulatory Event20
Criminal1

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 SECURITIES (USA) LLC

CRD#: 18476New York, NY 10017

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