RF
Richard J. Fogliano
TD SECURITIES (USA) LLC
New York, NY 10017
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CRD#: 2907334
RF
Professional summary
Richard Joseph Fogliano JR, who also goes by Richard Joseph Fogliano Jr, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York and TD PRIME SERVICES LLC located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2000. Richard has worked at 8 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 79, Series 7, Series 10, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Richard Joseph Fogliano Jr
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 Richard Joseph Fogliano JR'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
January 27, 2010 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017BD
CRD#: 18476
New York, NY
Current
January 25, 2017 - Present
TD PRIME SERVICES LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017BD
CRD#: 1914
New York, NY
Current
September 26, 2025 - Present
TD FINANCIAL PRODUCTS LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017BD
CRD#: 154838
New York, NY
Past
September 15, 2009 - January 20, 2010
LEBENTHAL & CO., LLC
BD
CRD#: 145750
NEW YORK, NY
Past
September 8, 2008 - March 12, 2009
NATIXIS SECURITIES NORTH AMERICA INC.
BD
CRD#: 28722
NEW YORK, NY
Past
July 5, 2006 - June 12, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
December 1, 2003 - April 5, 2006
PIPER SANDLER & CO.
BD
CRD#: 665
NEW YORK, NY
Past
March 29, 2000 - October 20, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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(2/25/2010)
RR
Alaska(2/25/2010)
RR
Arizona(2/25/2010)
RR
Arkansas(2/25/2010)
RR
California(1/27/2010)
RR
Colorado(2/25/2010)
RR
Connecticut(1/27/2010)
RR
Delaware(1/27/2010)
RR
District of Columbia(2/25/2010)
RR
Florida(1/27/2010)
RR
Georgia(2/25/2010)
RR
Hawaii(2/25/2010)
RR
Idaho(2/25/2010)
RR
Illinois(1/27/2010)
RR
Indiana(2/25/2010)
RR
Iowa(2/25/2010)
RR
Kansas(2/25/2010)
RR
Kentucky(2/25/2010)
RR
Louisiana(2/25/2010)
RR
Maine(2/25/2010)
RR
Maryland(1/27/2010)
RR
Massachusetts(1/27/2010)
RR
Michigan(2/25/2010)
RR
Minnesota(1/27/2010)
RR
Mississippi(2/25/2010)
RR
Missouri(1/27/2010)
RR
Montana(2/25/2010)
RR
Nebraska(2/25/2010)
RR
Nevada(2/25/2010)
RR
New Hampshire(2/25/2010)
RR
New Jersey(1/27/2010)
RR
New Mexico(2/25/2010)
RR
New York(1/27/2010)
RR
North Carolina(2/25/2010)
RR
North Dakota(2/25/2010)
RR
Ohio(2/25/2010)
RR
Oklahoma(2/25/2010)
RR
Oregon(2/25/2010)
RR
Pennsylvania(1/27/2010)
RR
Puerto Rico(2/25/2010)
RR
Rhode Island(2/25/2010)
RR
South Carolina(2/25/2010)
RR
South Dakota(2/25/2010)
RR
Tennessee(2/25/2010)
RR
Texas(1/27/2010)
RR
Utah(2/25/2010)
RR
Vermont(2/25/2010)
RR
Virginia(2/25/2010)
RR
Washington(2/25/2010)
RR
West Virginia(2/25/2010)
RR
Wisconsin(1/27/2010)
RR
Wyoming(2/25/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
TF
TD FINANCIAL PRODUCTS LLC
HEADLANDS GLOBAL MARKETS, LLC | TD SECURITIES AUTOMATED TRADING LLC | TD FINANCIAL PRODUCTS LLC | HEADLANDS TECH GLOBAL MARKETS, LLC | HEADLANDS TECH GLOBAL MARKETS
CRD#: 154838 / SEC#: , 8-68677
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
71 S. Wacker Drive Suite 550, Chicago, IL 60606
Mailing Address
71 S. Wacker Drive Suite 550, Chicago, IL 60606
Phone number
(312) 601-8643
Established
Delaware since 07/21/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.) INC. | OWNER | |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| MANNION, MARTIN | CO-HEAD OF ELECTRONIC TRADING | 4830837 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| SCHRAGER, MATTHEW | CO-HEAD OF ELECTRONIC TRADING | 6488305 |
| SUNDRAM, JEFFREY JOSEPH RODRIGUES | CHIEF COMPLIANCE OFFICER | 6191294 |
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.
