Rhonda A. Clayton Chavis
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Rhonda Alaina Clayton Chavis, who also goes by Rhonda Alaina Clayton, was a registered financial professional .
Rhonda is a previously registered financial professional and started their career in finance in 1996. Rhonda had worked at 22 firms and has passed the Series 63, Series 7TO, SIE, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2013 - April 23, 2026
TD PRIVATE CLIENT WEALTH LLC
October 1, 2012 - April 15, 2013
J.P. MORGAN SECURITIES LLC
July 14, 2005 - July 27, 2006
BANC ONE SECURITIES CORPORATION
July 14, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 12, 2000 - May 2, 2005
EQUITABLE ADVISORS, LLC
April 28, 1998 - April 27, 2005
EQUITABLE DISTRIBUTORS, LLC
October 21, 1997 - March 19, 1998
BANC ONE SECURITIES CORPORATION
January 14, 1997 - March 13, 1997
WILLAMETTE SECURITIES, INC.
January 2, 1997 - March 13, 1997
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
January 2, 1997 - March 13, 1997
CITI DISTRIBUTION SERVICES, INC.
January 2, 1997 - May 13, 1997
FORESIDE INVESTMENT SERVICES, LLC
January 2, 1997 - May 13, 1997
MENTOR SERVICES COMPANY, LLC
January 2, 1997 - May 13, 1997
MGI FUNDS DISTRIBUTORS, LLC
January 2, 1997 - May 13, 1997
NEW COVENANT FUNDS DISTRIBUTOR, INC.
January 2, 1997 - May 13, 1997
EVERGREEN DISTRIBUTOR, INC.
January 2, 1997 - May 13, 1997
STI CLASSIC FUND SERVICES, INC
August 8, 1996 - March 13, 1997
VICTORY CAPITAL SERVICES, INC.
August 8, 1996 - March 13, 1997
FTFD FUND DISTRIBUTOR, INC.
August 8, 1996 - March 13, 1997
PROFUNDS DISTRIBUTORS, INC.
August 8, 1996 - March 13, 1997
BD COMPLIANCE SOLUTIONS, LLC
August 8, 1996 - May 13, 1997
BISYS SHELF B/D (1), INC.
August 7, 1996 - May 13, 1997
JONES, BYRD, & ATTKISSON, INC.
April 30, 1996 - March 13, 1997
FORESIDE DISTRIBUTION SERVICES, L.P.
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
Exams
Series 7TO
Date: 8/1/2022
General Securities Representative ExaminationCurrent 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 | 25,697 |
| AUM (Assets Under Management) | $ 8,255,945,350 |
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 |
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.
