Evan D. Winters

TD PRIVATE CLIENT WEALTH LLC

Exton, PA 19341

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CRD#: 2656321

Professional summary

Evan D Winters, who also goes by Evan Dean Winter, Evan Dean Winters, Evan Winters, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Exton, Pennsylvania.

Evan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Evan has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Evan Dean Winter | Evan Dean Winters | Evan Winters

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) - RIA

Click below to view Evan D Winters's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Evan D Winters's CRS (Customer Relationship Summary).

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

February 15, 2019 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 100 Iron Lake Blvd, Exton, PA 19341

RIA

CRD#: 164484

Exton, PA

Current

February 5, 2019 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 100 Iron Lake Blvd, Exton, PA 19341

RIA

CRD#: 164484

Exton, PA

Past

August 5, 2016 - July 20, 2017

TD PRIVATE CLIENT WEALTH LLC

RIA

CRD#: 164484

CHERRY HILL, NJ

Past

August 4, 2016 - July 20, 2017

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484

CHERRY HILL, NJ

Past

February 1, 2016 - June 10, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

FLEMINGTON, NJ

Past

February 1, 2016 - June 10, 2016

LPL FINANCIAL LLC

CRD#: 6413

FLEMINGTON, NJ

Past

February 16, 2012 - January 19, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

FLEMINGTON, NJ

Past

February 16, 2012 - January 19, 2016

LPL FINANCIAL LLC

CRD#: 6413

FLEMINGTON, NJ

Past

May 26, 2009 - November 7, 2011

TD AMERITRADE, INC.

RIA

CRD#: 7870

OMAHA, NE

Past

May 26, 2009 - November 7, 2011

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

RADNOR, PA

Past

May 21, 2009 - November 7, 2011

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

October 23, 2008 - February 24, 2009

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

December 1, 2005 - October 14, 2008

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

SAN MATEO, CA

Past

May 12, 1998 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

May 12, 1998 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 3, 1997 - December 22, 1997

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

January 10, 1997 - March 11, 1997

NEW TIMES SECURITIES SERVICES, INC.

CRD#: 34154

MELVILLE, NY

Past

September 15, 1995 - December 2, 1996

STERLING FOSTER & COMPANY, INC.

CRD#: 36052

UNIONDALE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

New Jersey
(2/15/2019)

IAR

New Jersey
(2/15/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/22/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/5/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/20/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/14/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/18/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017

Mailing Address

1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017

Phone number

(877) 703-9896

Established

Delaware since 07/13/2012

Firm type

Limited Liability Company

Fiscal year end

October

Firm Size

Large

# of Employees

662

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TD PRIVATE CLIENT WEALTH LLC MANAGED ACCOUNT PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

Direct owners and executive officers

Name	Position	CRD#
TD BANK, NATIONAL ASSOCIATION	OWNER
BEAM, JAMES HENRY JR.	PRESIDENT	4274924
CALDERON NAJERA, NAYRA	CCO	5040972
CHABOT, ALAN J	CEO	2617874
ORTIZ, JORGE LUIS	CFO & FINOP	2725922
SCHAUTZ, JOHN LOUIS III	COO	1430568
WILSON, KEVIN KEITH	FINOP	5437711

Regulatory assets under management

Total Number of Accounts	17,824
AUM (Assets Under Management)	$ 6,450,375,507

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/30/2025	Cover Page	Report
09/27/2024	Cover Page	Report
06/27/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Evan D. Winters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Evan D Winters's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Evan D Winters's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

TD PRIVATE CLIENT WEALTH LLC

TD PRIVATE CLIENT WEALTH LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

CAPITAL BROKERAGE CORPORATION

FRANKLIN DISTRIBUTORS, LLC

SALOMON BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

NEW ENGLAND SECURITIES

NEW TIMES SECURITIES SERVICES, INC.

STERLING FOSTER & COMPANY, INC.

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/22/2009

Series 63

Date: 10/5/1995

SIE

Date: 7/20/2017

Series 7

Date: 9/14/1995

Series 24

Date: 5/18/2010

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

TD PRIVATE CLIENT WEALTH LLC

TRUST BUT VERIFY

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