Ann L. Bett
Professional summary
Ann Louise Bett, who also goes by Ann Louise Bett, Ann Bett, Ann Louise Clay, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Ann is registered as a RR (Registered Representative) and started their career in finance in 1996. Ann has worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ann Louise Bett's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 24, 2025 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017November 2, 2023 - October 8, 2025
SMBC NIKKO SECURITIES AMERICA, INC.
June 28, 2021 - January 3, 2023
ETORO USA SECURITIES INC.
January 31, 2020 - June 17, 2021
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 3, 2018 - January 28, 2020
DWS DISTRIBUTORS, INC.
January 3, 2012 - May 3, 2018
DEUTSCHE BANK SECURITIES INC.
September 4, 2008 - January 3, 2012
DB SECURITIES SERVICES NJ INC.
September 14, 2006 - March 7, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 25, 2006 - March 7, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 10, 1996 - December 31, 2002
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/24/2025)
Exams
FINRA
Nasdaq Stock Market
New York Stock Exchange
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 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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