David P. Ricciardi
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
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Paul Ricciardi's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 6, 2019 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017Office #2: 22 Vanderbilt Avenue 20th Floor, New York, NY 10017December 2, 2015 - July 24, 2019
TD SECURITIES (USA) LLC
February 28, 2013 - November 30, 2015
HSBC SECURITIES (USA) INC.
August 14, 2008 - November 23, 2012
UBS SECURITIES LLC
May 17, 2004 - January 16, 2008
KBC SECURITIES USA LLC
March 5, 2003 - May 7, 2004
GRAMERCY FINANCIAL SERVICES LLC
June 5, 2000 - January 14, 2003
TD SECURITIES (USA) LLC
July 23, 1997 - June 13, 2000
COWEN AND COMPANY
August 21, 1995 - July 28, 1997
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/6/2019)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 12/2/2019
Investment Banking Registered Representative ExaminationSeries 55
Date: 6/3/2005
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current 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
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