Jeffrey L. Ladd
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.
Jeffrey L Ladd, who also goes by Jeffrey Louis Ladd, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2001. Jeffrey had worked at 6 firms and has passed the Series 63 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
July 6, 2018 - June 3, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 21, 2016 - August 4, 2017
MARINER WEALTH
February 3, 2010 - August 4, 2017
ASCENT INVESTMENT PARTNERS, LLC
November 30, 2009 - January 8, 2010
WELLS FARGO CLEARING SERVICES, LLC
December 7, 2006 - March 25, 2009
GALLATIN ASSET MANAGEMENT, INC.
March 9, 2001 - October 27, 2005
A. G. EDWARDS & SONS, INC.
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 AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
