Christopher Uliano

TD PRIVATE CLIENT WEALTH LLC

West Long Branch, NJ 07764

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CRD#: 2770170

Professional summary

Christopher Uliano, who also goes by Christopher Uliano, Christopher Paul Uliano, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in West Long Branch, New Jersey.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Christopher has worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Christopher Uliano | Christopher Paul Uliano

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 Christopher Uliano's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Christopher Uliano'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 10, 2022 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 101 Parker Road, West Long Branch, NJ 07764

RIA

CRD#: 164484

West Long Branch, NJ

Current

March 16, 2023 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 255 Nassau Street 1st Floor, Princeton, NJ 08540

RIA

CRD#: 164484

Princeton, NJ

Past

August 8, 2017 - January 31, 2022

SANTANDER SECURITIES LLC

RIA

CRD#: 41791

Old Bridge, NJ

Past

August 8, 2017 - January 31, 2022

SANTANDER SECURITIES LLC

CRD#: 41791

Old Bridge, NJ

Past

December 3, 2014 - March 28, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

WALL TOWNSHIP, NJ

Past

March 19, 2014 - March 28, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

WALL TOWNSHIP, NJ

Past

January 8, 2013 - May 24, 2013

THE VERTICAL GROUP

CRD#: 104353

RED BANK, NJ

Past

July 27, 2012 - November 16, 2012

BGC FINANCIAL, L.P.

CRD#: 19801

NEW YORK, NY

Past

February 3, 2012 - May 24, 2012

MYD MARKET, INC

CRD#: 29019

NEW YORK, NY

Past

March 18, 2011 - February 2, 2012

ELEVATION, LLC

CRD#: 140341

NEW YORK, NY

Past

March 16, 2010 - September 15, 2010

LABRANCHE FINANCIAL SERVICES, LLC

CRD#: 7432

NEW YORK, NY

Past

November 3, 2008 - March 17, 2010

TP ICAP GLOBAL MARKETS AMERICAS LLC

CRD#: 2762

JERSEY CITY, NJ

Past

July 11, 2008 - November 3, 2008

REMINGTON GROUP, LLC

CRD#: 138861

NEW YORK, NY

Past

October 30, 2007 - October 23, 2008

HAMILTON EXECUTIONS LLC

CRD#: 127653

NEW YORK, NY

Past

September 26, 2002 - October 24, 2007

SRT SECURITIES LLC

CRD#: 33725

BIRMINGHAM, MI

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

Delaware
(2/18/2025)

IAR

Delaware
(2/19/2025)

Florida
(9/15/2023)

IAR

Florida
(9/18/2023)

Maine
(3/16/2023)

IAR

Maine
(3/17/2023)

IAR

New Jersey
(2/10/2022)

New Jersey
(3/16/2023)

New York
(2/18/2025)

IAR

New York
(2/18/2025)

Pennsylvania
(2/18/2025)

IAR

Pennsylvania
(2/19/2025)

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 65

Date: 11/25/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/18/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/29/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 3/4/2005

Registered Options 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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Christopher Uliano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Uliano's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Christopher Uliano's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

SANTANDER SECURITIES LLC

SANTANDER SECURITIES LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

THE VERTICAL GROUP

BGC FINANCIAL, L.P.

MYD MARKET, INC

ELEVATION, LLC

LABRANCHE FINANCIAL SERVICES, LLC

TP ICAP GLOBAL MARKETS AMERICAS LLC

REMINGTON GROUP, LLC

HAMILTON EXECUTIONS LLC

SRT SECURITIES LLC

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/25/2014

Series 63

Date: 11/18/2004

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/29/1997

Series 4

Date: 3/4/2005

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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