Ryan P. Fennelly
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ryan Patrick Fennelly, who also goes by Ryan Patrick Fennelly Mr., Ryan Fennelly, was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 1998. Ryan had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2011 - June 12, 2026
TD SECURITIES (USA) LLC
February 29, 2008 - April 21, 2011
RBC CAPITAL MARKETS, LLC
March 20, 2007 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
May 16, 2005 - March 23, 2007
CREDIT SUISSE SECURITIES (USA) LLC
March 31, 2004 - April 5, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 16, 2000 - March 12, 2004
CREDIT SUISSE SECURITIES (USA) LLC
October 27, 1998 - October 16, 2000
PERSHING LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
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 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
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.
