John P. Nelson
Professional summary
John Peter Nelson is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1995. John has worked at 11 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Peter Nelson's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 6, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: 22 Vanderbilt Avenue 20th Floor, New York, NY 10017October 14, 2011 - April 11, 2024
COWEN AND COMPANY
June 9, 2011 - October 21, 2011
MACQUARIE CAPITAL (USA) INC.
August 20, 2007 - May 16, 2011
COWEN AND COMPANY
February 12, 2007 - June 8, 2007
B. RILEY SECURITIES, INC.
March 29, 2006 - February 22, 2007
LEGACY PARTNERS GROUP, LLC
April 6, 2005 - March 20, 2006
TCG ADVISORS LLC
November 5, 2004 - June 17, 2005
INTE SECURITIES LLC
April 20, 2000 - October 14, 2002
BANC OF AMERICA SECURITIES LLC
November 29, 1997 - September 1, 1998
SALOMON BROTHERS INC.
July 9, 1996 - April 6, 1999
CITIGROUP GLOBAL MARKETS INC.
September 6, 1995 - May 6, 1996
J.P. MORGAN SECURITIES 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
(3/6/2024)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
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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