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DG

Deborah G. Gravinese

Some features on this profile are disabled
CRD#: 2882819
DG

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Deborah Gaffney Gravinese was a registered financial professional .

Deborah is a previously registered financial professional and started their career in finance in 1998. Deborah had worked at 2 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 12, 2019 - July 2, 2025

TD PRIME SERVICES LLC

BD
CRD#: 1914
NEW YORK, NY
Past

January 23, 1998 - July 2, 2025

TD SECURITIES (USA) LLC

BD
CRD#: 18476
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/23/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/22/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/6/2006
General Securities Principal Examination

Current Firm

TP
TD PRIME SERVICES LLC
ALBERT FRIED & COMPANY, LLC | TD PRIME SERVICES LLC

CRD#: 1914 / SEC#: , 8-3337

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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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
New York since 01/01/1996
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TORONTO DOMINION HOLDINGS (U.S.A.), INC.PARENT
BALDASSANO, MATTHEW ANTHONYMANAGING DIRECTOR, HEAD OF PRIME SERVICES1645834
BROADBERY, MICHAELCHIEF COMPLIANCE OFFICER6947899
GIBSON, GLENNCHIEF EXECUTIVE OFFICER5659024
ORTIZ, JORGE LUISCHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER2725922
PETROU, CHRISTINA ACHIEF OPERATING OFFICER4007468
PRINCIPATO, ANTHONY JOSEPHPRINCIPAL OPERATIONS OFFICER / HEAD OF OPERATIONS
WILSON, KEVIN KEITHFINANCIAL & OPERATIONS PRINCIPAL5437711

Disclosures

Regulatory Event11

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.

Company Information

TD PRIME SERVICES LLC

CRD#: 1914

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