Jeffrey M. Dazzo

TD PRIVATE CLIENT WEALTH LLC

Lawrence, NY 11559

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CRD#: 2713199

Professional summary

Jeffrey Matthew Dazzo, who also goes by Jeffrey Matthew D'azzo, Jeffrey Matthew Dazzo, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Lawrence, New York.

Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Jeffrey has worked at 20 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeffrey Matthew D'azzo | Jeffrey Matthew Dazzo

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. NAME: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE POSITION/TITLE/RELATIONSHIP: AGENT APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: SALES OF LIFE, FIXED ANNUITIES, AND LONG-TERM CARE; 2. NAME: FOUR FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: FINANCIAL PLANNING, INVESTMENTS, AND INSURANCE START DATE: 1/2022 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR DUTIES, TESTING; 3. NAME: TUTTO FRESCA, INC. INVESTMENT RELATED: NO ADDRESS: 231 OLD COUNTRY ROAD, CARLE PLACE, NEW YORK, 11514 NATURE OF BUSINESS: FOOD SERVICES AND HOSPITALITY START DATE: 10/2018 POSITION/TITLE/RELATIONSHIP: SERVER APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: SERVER;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Matthew Dazzo's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Matthew Dazzo'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

October 17, 2024 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 490 Rockaway Turnpike, Lawrence, NY 11559

RIA

CRD#: 164484

Lawrence, NY

Current

October 17, 2024 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 324 So. Service Road, Melville, NY 11747

RIA

CRD#: 164484

Melville, NY

Past

June 29, 2023 - June 13, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

FARMINGDALE, NY

Past

May 26, 2022 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

FARMINGDALE, NY

Past

April 21, 2022 - June 13, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

FARMINGDALE, NY

Past

January 5, 2017 - October 17, 2018

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

WESTBURY, NY

Past

January 4, 2017 - October 17, 2018

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WESTBURY, NY

Past

January 28, 2015 - December 21, 2015

CAPITAL ONE ADVISORS, LLC

RIA

CRD#: 136865

SEATTLE, WA

Past

January 2, 2015 - December 21, 2015

CAPITAL ONE INVESTING, LLC

CRD#: 45744

GLEN COVE, NY

Past

February 14, 2013 - January 28, 2015

CAPITAL ONE FINANCIAL ADVISORS LLC

RIA

CRD#: 127236

MELVILLE, NY

Past

February 14, 2013 - January 2, 2015

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

GLEN COVE, NY

Past

October 1, 2010 - September 20, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

GARDEN CITY, NY

Past

October 1, 2010 - September 20, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

GARDEN CITY, NY

Past

February 22, 2007 - October 4, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

FLUSHING, NY

Past

February 22, 2007 - October 4, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

FLUSHING, NY

Past

May 16, 2006 - February 21, 2007

IFMG SECURITIES, INC.

CRD#: 14416

BROOKLYN, NY

Past

July 15, 2005 - September 22, 2005

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

FLORAL PARK, NY

Past

May 2, 2002 - September 22, 2005

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

March 19, 1999 - November 2, 2001

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

February 10, 1999 - March 16, 1999

ROYAL HUTTON SECURITIES CORP.

CRD#: 14489

NEW YORK, NY

Past

May 12, 1998 - July 30, 1998

THE HAMILTON-SHEA GROUP, INC.

CRD#: 37526

POMPANO BEACH, FL

Past

January 7, 1998 - May 13, 1998

MORGAN, TAYLOR & ASSOCIATES, INC.

CRD#: 37447

MINEOLA, NY

Past

October 2, 1997 - December 31, 1997

PACIFIC CORTEZ SECURITIES INCORPORATED

CRD#: 24341

SAN DIEGO, CA

Past

January 14, 1997 - September 20, 1997

MORGAN GRANT CAPITAL CORP.

CRD#: 28595

GARDEN CITY, NY

Past

December 11, 1996 - January 3, 1997

JOSEPH DILLON & COMPANY INC.

CRD#: 35220

GREAT NECK, NY

Past

November 13, 1996 - December 18, 1996

STRATTON OAKMONT INC.

CRD#: 18692

LAKE SUCCESS, 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 York
(10/17/2024)

IAR

New York
(10/17/2024)

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: 5/25/2022

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/6/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/25/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/20/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/12/1996

General Securities Representative 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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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jeffrey M. Dazzo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Matthew Dazzo's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Matthew Dazzo's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

CAPITAL ONE ADVISORS, LLC

CAPITAL ONE INVESTING, LLC

CAPITAL ONE FINANCIAL ADVISORS LLC

CAPITAL ONE INVESTMENT SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

IFMG SECURITIES, INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

BNY MELLON SECURITIES CORPORATION

ROYAL HUTTON SECURITIES CORP.

THE HAMILTON-SHEA GROUP, INC.

MORGAN, TAYLOR & ASSOCIATES, INC.

PACIFIC CORTEZ SECURITIES INCORPORATED

MORGAN GRANT CAPITAL CORP.

JOSEPH DILLON & COMPANY INC.

STRATTON OAKMONT INC.

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/25/2022

Series 65

Date: 6/6/2005

Series 63

Date: 11/25/1996

Series 7TO

Date: 4/20/2022

SIE

Date: 10/1/2018

Series 7

Date: 11/12/1996

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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