Christopher D. Swindle
Professional summary
Christopher Daniel Swindle, who also goes by Christopher Daniel Swindle, is a registered financial professional currently at TD SECURITIES (USA) LLC located in San Francisco, California.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2001. Christopher has worked at 4 firms and has passed the Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher Daniel Swindle's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 7, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: 1 Maritime Plaza 9th Floor, San Francisco, CA 94111March 31, 2011 - April 11, 2024
COWEN AND COMPANY
March 6, 2009 - March 16, 2011
WEDBUSH SECURITIES INC.
March 30, 2001 - July 8, 2009
PACIFIC GROWTH EQUITIES, 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
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 |
| 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
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