JS
James A. Sweeney
TD SECURITIES (USA) LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 2890323
JS
Professional summary
James A Sweeney, who also goes by James Alfred Sweeney, James Sweeney, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1997. James has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Alfred Sweeney | James Sweeney
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.
CRS (Client Relationship Summary) - BD
Click below to view James A Sweeney'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®
NoneExperience
Current
March 31, 2004 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017BD
CRD#: 18476
New York, NY
Past
October 8, 2003 - March 19, 2004
IMPERIAL CAPITAL, LLC
BD
CRD#: 43744
LOS ANGELES, CA
Past
October 3, 2002 - October 15, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 7, 1999 - February 6, 2002
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
June 9, 1997 - June 7, 1999
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(4/29/2010)
RR
Alaska(4/29/2010)
RR
Arizona(4/29/2010)
RR
Arkansas(4/29/2010)
RR
California(4/29/2010)
RR
Colorado(4/29/2010)
RR
Connecticut(4/29/2010)
RR
Delaware(4/29/2010)
RR
District of Columbia(4/29/2010)
RR
Florida(4/29/2010)
RR
Georgia(4/29/2010)
RR
Hawaii(4/29/2010)
RR
Idaho(4/29/2010)
RR
Illinois(4/29/2010)
RR
Indiana(4/29/2010)
RR
Iowa(4/29/2010)
RR
Kansas(4/29/2010)
RR
Kentucky(4/29/2010)
RR
Louisiana(4/29/2010)
RR
Maine(4/29/2010)
RR
Maryland(4/29/2010)
RR
Massachusetts(4/29/2010)
RR
Michigan(4/29/2010)
RR
Minnesota(4/29/2010)
RR
Mississippi(4/29/2010)
RR
Missouri(4/29/2010)
RR
Montana(4/29/2010)
RR
Nebraska(4/29/2010)
RR
Nevada(4/29/2010)
RR
New Hampshire(4/29/2010)
RR
New Jersey(4/29/2010)
RR
New Mexico(4/29/2010)
RR
New York(3/31/2004)
RR
North Carolina(4/29/2010)
RR
North Dakota(4/29/2010)
RR
Ohio(4/29/2010)
RR
Oklahoma(4/29/2010)
RR
Oregon(4/29/2010)
RR
Pennsylvania(4/29/2010)
RR
Puerto Rico(4/29/2010)
RR
Rhode Island(4/29/2010)
RR
South Carolina(4/29/2010)
RR
South Dakota(4/29/2010)
RR
Tennessee(4/29/2010)
RR
Texas(4/29/2010)
RR
Utah(4/29/2010)
RR
Vermont(4/29/2010)
RR
Virginia(4/29/2010)
RR
Washington(4/29/2010)
RR
West Virginia(4/29/2010)
RR
Wisconsin(4/29/2010)
RR
Wyoming(4/29/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
TS
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
BD
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
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.
