Shawn M. Neice

TD PRIVATE CLIENT WEALTH LLC

Toms River, NJ 08753

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CRD#: 2979084

Professional summary

Shawn M Neice, who also goes by Shawn Michael Neice, Shawn M Neice, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Toms River, New Jersey.

Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Shawn has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shawn Michael Neice | Shawn M Neice

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.

1. 05/13/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Neptune City, NJ - INV REL - Start Date 05/13/2025 - 160hrs/mth 2. 05/13/2025 - N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Neptune City, NJ - INV REL - Start Date 05/13/2025 - 160hrs/mth

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn M Neice's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Shawn M Neice'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

September 3, 2025 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 1101 Hooper Avenue, Toms River, NJ 08753

RIA

CRD#: 164484

Toms River, NJ

Current

September 3, 2025 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 255 Nassau Street 1st Floor, Princeton, NJ 08540

RIA

CRD#: 164484

Princeton, NJ

Past

May 21, 2025 - August 19, 2025

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

BASKING RIDGE, NJ

Past

May 19, 2025 - August 19, 2025

LPL ENTERPRISE, LLC

CRD#: 8733

BASKING RIDGE, NJ

Past

May 11, 2022 - May 16, 2025

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

MANASQUAN, NJ

Past

May 11, 2022 - May 16, 2025

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

MANASQUAN, NJ

Past

May 14, 2019 - May 9, 2022

SANTANDER SECURITIES LLC

RIA

CRD#: 41791

Whiting, NJ

Past

May 14, 2019 - May 9, 2022

SANTANDER SECURITIES LLC

CRD#: 41791

Whiting, NJ

Past

July 8, 2013 - May 3, 2019

LORD, ABBETT & CO. LLC

RIA

CRD#: 110391

JERSEY CITY, NJ

Past

May 27, 2013 - May 3, 2019

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, NJ

Past

September 27, 2002 - November 25, 2002

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

PORTLAND, OR

Past

December 21, 2001 - September 27, 2002

SCHNEIDER SECURITIES, INC.

CRD#: 16434

DENVER, CO

Past

September 14, 1998 - December 21, 2001

GLOBAL CAPITAL SECURITIES CORPORATION

CRD#: 16184

ENGLEWOOD, CO

Past

March 9, 1998 - June 16, 1998

EASTBROOK CAPITAL GROUP LLC

CRD#: 39781

NEW YORK, NY

Past

January 27, 1998 - April 15, 1998

NETWORK 1 FINANCIAL SECURITIES INC.

CRD#: 13577

RED BANK, NJ

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

Delaware
(11/3/2025)

IAR

Delaware
(11/3/2025)

Florida
(11/3/2025)

IAR

Florida
(11/4/2025)

New Jersey
(9/3/2025)

IAR

New Jersey
(9/3/2025)

New York
(11/3/2025)

IAR

New York
(11/3/2025)

Pennsylvania
(11/3/2025)

IAR

Pennsylvania
(11/5/2025)

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: 6/28/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/30/1998

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: 5/24/2013

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

Shawn M. Neice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn M Neice's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Shawn M Neice's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

LPL ENTERPRISE, LLC

LPL ENTERPRISE, LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

SANTANDER SECURITIES LLC

SANTANDER SECURITIES LLC

LORD, ABBETT & CO. LLC

LORD ABBETT DISTRIBUTOR LLC

PAULSON INVESTMENT COMPANY LLC

SCHNEIDER SECURITIES, INC.

GLOBAL CAPITAL SECURITIES CORPORATION

EASTBROOK CAPITAL GROUP LLC

NETWORK 1 FINANCIAL SECURITIES INC.

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/28/2013

Series 63

Date: 1/30/1998

SIE

Date: 10/1/2018

Series 7

Date: 5/24/2013

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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