MP
Matthew T. Prifti
TD PRIVATE CLIENT WEALTH LLC
Andover, MA 01810
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CRD#: 3043705
MP
Professional summary
Matthew Thomas Prifti, ChFC® is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Andover, Massachusetts.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Matthew has worked at 7 firms and has passed the Series 65, Series 63, 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.
Rental property owner. I receive rental income from one property which is not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Thomas Prifti's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Thomas Prifti'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®
Experience
Current
July 1, 2014 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 61 Main Street, Andover, MA 01810RIA
BD
CRD#: 164484
Andover, MA
Current
July 1, 2014 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 61 Main Street, Andover, MA 01810RIA
BD
CRD#: 164484
Andover, MA
Past
March 30, 2012 - June 12, 2014
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
BURLINGTON, MA
Past
March 30, 2012 - June 12, 2014
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
BURLINGTON, MA
Past
November 19, 2010 - March 8, 2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
MANCHESTER, NH
Past
January 3, 2006 - March 8, 2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MANCHESTER, NH
Past
November 9, 2002 - July 14, 2005
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
November 9, 2002 - July 14, 2005
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
September 6, 2001 - November 25, 2003
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
May 15, 1998 - August 11, 2000
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, 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".
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
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.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
Arizona(8/30/2021)
IAR
Arizona(9/9/2021)
RR
California(6/25/2020)
IAR
California(6/25/2020)
RR
Colorado(2/19/2025)
IAR
Colorado(2/19/2025)
RR
Connecticut(9/8/2015)
IAR
Connecticut(9/8/2015)
RR
Florida(8/30/2016)
IAR
Florida(8/31/2016)
RR
Georgia(5/25/2023)
IAR
Georgia(5/30/2023)
RR
Illinois(12/9/2022)
IAR
Illinois(12/9/2022)
RR
Maine(7/1/2014)
IAR
Maine(7/1/2014)
RR
Maryland(7/9/2018)
IAR
Maryland(7/9/2018)
RR
Massachusetts(7/1/2014)
IAR
Massachusetts(7/8/2014)
RR
Montana(9/3/2021)
IAR
Montana(9/3/2021)
RR
New Hampshire(7/1/2014)
IAR
New Hampshire(7/1/2014)
RR
New Jersey(9/9/2021)
IAR
New Jersey(9/10/2021)
RR
New Mexico(8/30/2021)
IAR
New Mexico(8/31/2021)
RR
New York(8/23/2019)
IAR
New York(8/19/2021)
RR
North Carolina(9/1/2023)
IAR
North Carolina(9/1/2023)
RR
Oregon(12/9/2022)
IAR
Oregon(12/9/2022)
RR
Pennsylvania(12/16/2015)
IAR
Pennsylvania(12/16/2015)
RR
Rhode Island(9/16/2021)
IAR
Rhode Island(9/16/2021)
RR
South Carolina(11/21/2023)
IAR
South Carolina(11/21/2023)
RR
Tennessee(4/15/2025)
RR
Texas(9/22/2015)
IAR
Texas(9/22/2015)
RR
Utah(2/6/2018)
IAR
Utah(2/7/2018)
RR
Vermont(7/1/2014)
IAR
Vermont(7/2/2014)
RR
Virginia(11/15/2023)
IAR
Virginia(11/15/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
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
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
