JS
Joseph A. Santos
TD PRIVATE CLIENT WEALTH LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 2745089
JS
Professional summary
Joseph Anthony Santos, CFP®, who also goes by Tony Santos, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in New York, New York.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Joseph has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tony Santos
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.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Anthony Santos's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Anthony Santos's 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®
CFP®
Start date: 2016
Experience
Current
August 25, 2013 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1 Vanderbilt Avenue 23rd Floor, New York, NY 10017RIA
BD
CRD#: 164484
New York, NY
Current
August 28, 2013 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1 Vanderbilt Avenue 23rd Floor, New York, NY 10017RIA
BD
CRD#: 164484
New York, NY
Past
October 21, 2008 - August 22, 2013
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
NEW YORK, NY
Past
October 21, 2008 - August 22, 2013
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK, NY
Past
October 20, 2004 - October 21, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
NEW YORK, NY
Past
October 20, 2004 - October 21, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
NEW YORK, NY
Past
June 4, 2004 - October 20, 2004
QUICK & REILLY, INC.
RIA
CRD#: 11217
NEW YORK, NY
Past
May 22, 2003 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
October 4, 1996 - April 16, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, 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".
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
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.RR
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
RR
Alabama(10/6/2021)
IAR
Alabama(10/6/2021)
RR
Arizona(1/25/2021)
IAR
Arizona(2/19/2021)
RR
California(8/28/2013)
IAR
California(8/28/2013)
RR
Colorado(9/19/2013)
IAR
Colorado(9/23/2013)
RR
Connecticut(8/13/2014)
IAR
Connecticut(8/13/2014)
RR
Delaware(2/15/2017)
IAR
Delaware(2/15/2017)
RR
District of Columbia(2/11/2019)
IAR
District of Columbia(2/21/2019)
RR
Florida(8/28/2013)
IAR
Florida(8/29/2013)
RR
Georgia(4/12/2022)
IAR
Georgia(4/13/2022)
IAR
Illinois(8/25/2013)
RR
Illinois(8/28/2013)
RR
Indiana(5/16/2014)
IAR
Indiana(5/16/2014)
RR
Kansas(10/13/2022)
IAR
Kansas(10/13/2022)
RR
Maryland(10/6/2020)
IAR
Maryland(10/6/2020)
RR
Massachusetts(2/11/2019)
IAR
Massachusetts(2/11/2019)
RR
Michigan(2/4/2019)
IAR
Michigan(2/4/2019)
RR
Nevada(9/24/2024)
IAR
Nevada(9/25/2024)
RR
New Jersey(8/28/2013)
IAR
New Jersey(9/25/2013)
RR
New Mexico(9/21/2018)
IAR
New Mexico(9/24/2018)
RR
New York(8/28/2013)
IAR
New York(8/19/2021)
RR
North Carolina(2/4/2019)
IAR
North Carolina(2/4/2019)
RR
Ohio(2/4/2019)
IAR
Ohio(2/4/2019)
RR
Pennsylvania(8/28/2013)
IAR
Pennsylvania(8/29/2013)
RR
Rhode Island(10/17/2014)
IAR
Rhode Island(10/17/2014)
RR
South Carolina(2/4/2019)
IAR
South Carolina(2/4/2019)
RR
Texas(2/4/2019)
IAR
Texas(2/4/2019)
RR
Utah(1/25/2021)
IAR
Utah(1/25/2021)
RR
Vermont(4/26/2023)
IAR
Vermont(4/26/2023)
RR
Virginia(2/4/2019)
IAR
Virginia(2/4/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
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
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
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 | ||
| 12/21/2022 |
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.
