Sandeep Dutta

TD PRIVATE CLIENT WEALTH LLC

Garden City, NY 11530

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CRD#: 2693647

Professional summary

Sandeep Dutta is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Garden City, New York.

Sandeep is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Sandeep has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 62, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

(1) ACDD Realty LLC; Investment Related: No; Address of Outside Business:30 Bridle Path North Sands Point NY 11050; Nature of Outside Business: Rental Property; Position: Partner / Member; Start Date:9/25/2017; Hours per month: 10-20; Hours per month during securities trading hours: No; Description of Duties: Identify properties for purchase Work with Contractors to renovate or to generate rental income from rental properties.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sandeep Dutta's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Sandeep Dutta'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

April 10, 2025 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 855 Franklin Avenue, Garden City, NY 11530

RIA

CRD#: 164484

Garden City, NY

Current

March 27, 2025 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 1 Vanderbilt Avenue 23rd Floor, New York, NY 10017

RIA

CRD#: 164484

New York, NY

Past

January 26, 2022 - April 5, 2025

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Garden City, NY

Past

January 26, 2022 - April 5, 2025

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Garden City, NY

Past

February 27, 2018 - October 14, 2022

TD AMERITRADE, INC.

RIA

CRD#: 7870

Garden City, NY

Past

February 26, 2018 - September 7, 2023

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Garden City, NY

Past

February 26, 2018 - July 29, 2024

TD AMERITRADE, INC.

CRD#: 7870

Garden City, NY

Past

February 13, 2017 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

February 6, 2017 - February 26, 2018

SCOTTRADE, INC.

CRD#: 8206

STATEN ISLAND, NY

Past

November 5, 2015 - December 9, 2016

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

NEW YORK, NY

Past

November 3, 2015 - December 9, 2016

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

NEW YORK, NY

Past

June 19, 2008 - October 26, 2015

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

FOREST HILLS, NY

Past

May 23, 2005 - October 26, 2015

TD AMERITRADE, INC.

RIA

CRD#: 7870

FOREST HILLS, NY

Past

February 18, 2005 - October 26, 2015

TD AMERITRADE, INC.

CRD#: 7870

FOREST HILLS, NY

Past

February 10, 2004 - January 31, 2005

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

January 15, 2002 - February 5, 2004

W.A. CAPITAL MARKETS

CRD#: 6292

NEW YORK, NY

Past

January 2, 2002 - January 17, 2002

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

June 9, 2000 - January 2, 2002

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

October 16, 1996 - June 15, 2000

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

Past

January 1, 1996 - September 10, 1996

INVESTORS ASSOCIATES, INC.

CRD#: 958

HACKENSACK, NJ

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

Connecticut
(3/27/2025)

IAR

Connecticut
(4/10/2025)

New Jersey
(7/22/2025)

IAR

New Jersey
(7/22/2025)

New York
(7/22/2025)

IAR

New York
(7/22/2025)

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: 5/20/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/16/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/30/1999

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 12/20/1995

Corporate Securities Limited Representative Examination

Principal/Supervisory Exam

Series 9

Date: 11/9/2006

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 8/17/2006

General Securities Sales Supervisor - General Module 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

Sandeep Dutta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sandeep Dutta's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Sandeep Dutta's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

WAMU INVESTMENTS, INC.

W.A. CAPITAL MARKETS

OPPENHEIMER & CO. INC.

JOSEPHTHAL & CO., INC.

CONTINENTAL BROKER-DEALER CORP.

INVESTORS ASSOCIATES, INC.

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/20/2005

Series 63

Date: 1/16/1996

SIE

Date: 10/1/2018

Series 7

Date: 9/30/1999

Series 62

Date: 12/20/1995

Series 9

Date: 11/9/2006

Series 10

Date: 8/17/2006

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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