Roman Eppel

TD PRIVATE CLIENT WEALTH LLC

Brooklyn, NY 11235

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CRD#: 3029923

Professional summary

Roman Eppel is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Brooklyn, New York.

Roman is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Roman has worked at 7 firms and has passed the Series 66, Series 63, Series 82TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

[Insurance Brokering; appointed with outside carriers for the purpose of brokering non-registered products; 285 Fulton Street, 39th Floor New York, New York 10007; start 07/2024; commissions; 20 hours per month, 20 hours during securities trading hours; non-investment related]

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roman Eppel's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Roman Eppel'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

February 3, 2025 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 2700 Coney Island Avenue, Brooklyn, NY 11235

RIA

CRD#: 164484

Brooklyn, NY

Current

February 3, 2025 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 1 Vanderbilt Avenue 23rd Floor, New York, NY 10017

RIA

CRD#: 164484

New York, NY

Past

October 18, 2024 - February 3, 2025

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

NEW YORK, NY

Past

August 20, 2024 - February 3, 2025

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

October 7, 2016 - May 15, 2024

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BROOKLYN, NY

Past

October 6, 2016 - May 15, 2024

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BROOKLYN, NY

Past

October 1, 2012 - October 13, 2016

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

BROOKLYN, NY

Past

October 1, 2012 - October 13, 2016

J.P. MORGAN SECURITIES LLC

CRD#: 79

BROOKLYN, NY

Past

November 29, 2011 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

BROOKLYN, NY

Past

July 14, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

BROOKLYN, NY

Past

April 24, 1998 - August 4, 2000

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

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

New York
(2/3/2025)

IAR

New York
(2/3/2025)

Pennsylvania
(3/27/2025)

IAR

Pennsylvania
(3/28/2025)

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: 11/27/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/30/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 2/3/2025

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/4/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/13/2010

Investment Company Products/Variable Contracts 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

Roman Eppel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roman Eppel's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Roman Eppel's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

CONTINENTAL BROKER-DEALER CORP.

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/27/2011

Series 63

Date: 7/30/2010

Series 82TO

Date: 2/3/2025

SIE

Date: 10/1/2018

Series 7

Date: 11/4/2011

Series 6

Date: 7/13/2010

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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