Charles C. Mccabe

TD SECURITIES (USA) LLC

San Francisco, CA 94111

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CRD#: 2832206

Professional summary

Charles Christopher Mccabe, who also goes by Christopher Mccabe, is a registered financial professional currently at TD SECURITIES (USA) LLC located in San Francisco, California.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1997. Charles has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Christopher Mccabe

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) - BD

Click below to view Charles Christopher Mccabe'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®

None

Experience

Current

March 8, 2024 - Present

TD SECURITIES (USA) LLC

Office #1: 450 Sansome Street 4th Floor, San Francisco, CA 94111

CRD#: 18476

San Francisco, CA

Past

March 11, 2013 - May 24, 2013

COWEN SECURITIES LLC

CRD#: 23510

SAN FRANCISCO, CA

Past

September 12, 2011 - April 11, 2024

COWEN AND COMPANY

CRD#: 7616

San Francisco, CA

Past

September 5, 2002 - August 16, 2011

PIPER SANDLER & CO.

CRD#: 665

EAST PALO ALTO, CA

Past

February 13, 1997 - August 27, 2002

ROBERTSON STEPHENS, INC.

CRD#: 41271

SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(3/8/2024)

New York
(3/8/2024)

Exams

State Security Law Exam

Series 63

Date: 2/11/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/18/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/22/2006

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

TD SECURITIES (USA) LLC

AMERICAN GOVERNMENT SECURITIES, INC. | TORONTO DOMINION SECURITIES CORP. | TORONTO DOMINION SECURITIES (USA) INC. | TD SECURITIES (USA) LLC | TD SECURITIES (USA) INC.

CRD#: 18476 / SEC#: , 8-36747

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

One Vanderbilt Avenue, New York, NY 10017

Mailing Address

One Vanderbilt Avenue, New York, NY 10017

Phone number

(212) 827-7000

Established

Delaware since 11/01/2004

Firm type

Limited Liability Company

Fiscal year end

October

Firm Size

Large

# of Employees

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
JENKINS, CHRISTINE J	FINANCIAL & OPERATIONS PRINCIPAL	4911933
ORTIZ, JORGE LUIS	CHIEF FINANCIAL OFFICER	2725922
PETROU, CHRISTINA A	CHIEF OPERATING OFFICER	4007468

Disclosures

Regulatory Event	20
Criminal	1

Red Flags

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Advisor Monitoring

Firm Stability Insights

Charles C. Mccabe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

COWEN SECURITIES LLC

COWEN AND COMPANY

PIPER SANDLER & CO.

ROBERTSON STEPHENS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/11/1997

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/18/1996

Series 24

Date: 11/22/2006

FINRA

Nasdaq Stock Market

Current Firm

TD SECURITIES (USA) LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TD SECURITIES (USA) LLC

TRUST BUT VERIFY

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