John J. Fitzgerald

TD PRIVATE CLIENT WEALTH LLC

Mount Pleasant, SC 29464

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CRD#: 2855447

Professional summary

John Jarrett Fitzgerald, who also goes by John J Fitzgerald, John Jarrett Fitzgerald, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Mount Pleasant, South Carolina.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. John has worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John J Fitzgerald | John Jarrett Fitzgerald

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 John Jarrett Fitzgerald's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view John Jarrett Fitzgerald'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

March 19, 2020 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 75 Port City Landing Ste 210, Mount Pleasant, SC 29464

RIA

CRD#: 164484

Mount Pleasant, SC

Current

March 19, 2020 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 75 Port City Landing Ste 210, Mount Pleasant, SC 29464

RIA

CRD#: 164484

Mount Pleasant, SC

Past

May 9, 2019 - February 25, 2020

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

Charleston, SC

Past

May 9, 2019 - February 25, 2020

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430

Charleston, SC

Past

July 5, 2016 - May 7, 2019

TD PRIVATE CLIENT WEALTH LLC

RIA

CRD#: 164484

Charleston, SC

Past

July 5, 2016 - May 7, 2019

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484

Charleston, SC

Past

August 3, 2015 - June 29, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CHARLESTON, SC

Past

April 2, 2015 - June 29, 2016

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CHARLESTON, SC

Past

September 9, 2010 - March 30, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

GREENVILLE, SC

Past

May 22, 2009 - August 11, 2010

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

June 18, 2007 - April 2, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

NEWNAN, GA

Past

April 10, 2006 - August 18, 2006

EQUITABLE ADVISORS, LLC

CRD#: 6627

MACON, GA

Past

June 4, 2002 - March 29, 2006

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

June 4, 2002 - March 29, 2006

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

April 10, 2000 - June 5, 2000

E-INVEST, INC.

CRD#: 18298

SAN FRANCISCO, CA

Past

February 3, 1999 - February 9, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

February 18, 1998 - January 27, 1999

THE ROBINSON-HUMPHREY COMPANY, LLC

CRD#: 723

ATLANTA, GA

Past

September 29, 1997 - January 20, 1998

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, 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

Florida
(8/14/2020)

IAR

Florida
(8/17/2020)

North Carolina
(8/14/2020)

IAR

North Carolina
(8/17/2020)

South Carolina
(3/19/2020)

IAR

South Carolina
(3/19/2020)

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: 8/1/2015

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/5/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/8/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/26/1997

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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Advisor Monitoring

Firm Stability Insights

John J. Fitzgerald

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Jarrett Fitzgerald's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view John Jarrett Fitzgerald's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

FIRST CITIZENS INVESTOR SERVICES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

TD PRIVATE CLIENT WEALTH LLC

TD PRIVATE CLIENT WEALTH LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN KEEGAN & COMPANY, LLC

WELLS FARGO CLEARING SERVICES, LLC

EQUITABLE ADVISORS, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

E-INVEST, INC.

MORGAN STANLEY DW INC.

THE ROBINSON-HUMPHREY COMPANY, LLC

JOSEPHTHAL & CO., INC.

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/1/2015

Series 65

Date: 4/5/1999

Series 63

Date: 10/8/1997

SIE

Date: 10/1/2018

Series 7

Date: 9/26/1997

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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