Tim G. Wiggan
Professional summary
Tim Guest Wiggan is a registered financial professional currently at TD SECURITIES (USA) LLC .
Tim is registered as a RR (Registered Representative) and started their career in finance in 1996. Tim has worked at 5 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 Tim Guest Wiggan's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 8, 2016 - Present
TD SECURITIES (USA) LLC
Office #1: 66 Wellington Street, Toronto, Ontario, M5K1A2March 15, 2024 - November 21, 2024
TD PRIVATE CLIENT WEALTH LLC
November 16, 2000 - February 15, 2013
TD SECURITIES (USA) LLC
March 31, 1999 - November 15, 2000
NEWCREST CAPITAL CORPORATION
April 29, 1997 - March 23, 1998
RBC CAPITAL MARKETS CORPORATION
March 18, 1996 - September 13, 1996
RICHARDSON GREENSHIELDS SECURITIES 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
Exams
Series 79TO
Date: 7/14/2023
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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