RC
Ronald L. Chin
TD PRIME SERVICES LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2954947
RC
Professional summary
Ronald Leon Chin is a registered financial professional currently at TD PRIME SERVICES LLC located in Chicago, Illinois and TD SECURITIES (USA) LLC located in Chicago, Illinois.
Ronald is registered as a RR (Registered Representative) and started their career in finance in 2001. Ronald has worked at 3 firms and has passed the Series 63, Series 99TO and Series 7 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.
CRS (Client Relationship Summary) - BD
Click below to view Ronald Leon Chin'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
May 24, 2022 - Present
TD PRIME SERVICES LLC
Office #1: 71 S. Wacker Drive Suite 3000, Chicago, IL 60606BD
CRD#: 1914
Chicago, IL
Current
January 16, 2025 - Present
TD SECURITIES (USA) LLC
Office #1: 71 S. Wacker Drive Suite 3000, Chicago, IL 60606BD
CRD#: 18476
Chicago, IL
Past
July 24, 2001 - October 25, 2017
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
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(6/30/2022)
RR
Alaska(6/27/2022)
RR
Arizona(6/27/2022)
RR
Arkansas(6/23/2022)
RR
California(6/21/2022)
RR
Colorado(6/23/2022)
RR
Connecticut(6/21/2022)
RR
Delaware(6/27/2022)
RR
District of Columbia(6/23/2022)
RR
Florida(6/22/2022)
RR
Georgia(6/23/2022)
RR
Hawaii(7/15/2022)
RR
Idaho(6/23/2022)
RR
Illinois(6/22/2022)
RR
Indiana(7/20/2022)
RR
Iowa(6/28/2022)
RR
Kansas(6/23/2022)
RR
Kentucky(6/23/2022)
RR
Louisiana(6/28/2022)
RR
Maine(6/21/2022)
RR
Maryland(6/22/2022)
RR
Massachusetts(6/22/2022)
RR
Michigan(6/22/2022)
RR
Minnesota(6/23/2022)
RR
Mississippi(6/23/2022)
RR
Missouri(6/21/2022)
RR
Montana(6/21/2022)
RR
Nebraska(6/21/2022)
RR
Nevada(6/28/2022)
RR
New Hampshire(6/24/2022)
RR
New Jersey(7/1/2022)
RR
New Mexico(6/23/2022)
RR
New York(7/29/2022)
RR
North Carolina(6/21/2022)
RR
North Dakota(6/27/2022)
RR
Ohio(6/21/2022)
RR
Oklahoma(6/23/2022)
RR
Oregon(6/22/2022)
RR
Pennsylvania(6/22/2022)
RR
Puerto Rico(7/4/2022)
RR
Rhode Island(6/24/2022)
RR
South Carolina(6/24/2022)
RR
South Dakota(7/28/2022)
RR
Tennessee(6/23/2022)
RR
Texas(6/24/2022)
RR
Utah(6/21/2022)
RR
Vermont(6/22/2022)
RR
Virginia(6/25/2022)
RR
Washington(6/23/2022)
RR
West Virginia(7/12/2022)
RR
Wisconsin(6/23/2022)
RR
Wyoming(6/23/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 4/24/2023
Operations Professional ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
