FP
Frank L. Postiglione
TD SECURITIES (USA) LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 3151299
FP
Professional summary
Frank Louis Postiglione, who also goes by Frank Louis Postiglione Jr, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York and TD FINANCIAL PRODUCTS LLC located in New York, New York.
Frank is registered as a RR (Registered Representative) and started their career in finance in 1999. Frank has worked at 7 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Frank Louis Postiglione Jr
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Frank Louis Postiglione'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®
NoneExperience
Current
June 5, 2017 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017BD
CRD#: 18476
New York, NY
Current
September 26, 2025 - Present
TD FINANCIAL PRODUCTS LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017BD
CRD#: 154838
New York, NY
Past
October 21, 2014 - May 31, 2017
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
June 19, 2012 - July 7, 2014
CANACCORD GENUITY LLC
BD
CRD#: 1020
NEW YORK, NY
Past
March 26, 2012 - March 29, 2012
CANACCORD GENUITY LLC
BD
CRD#: 1020
NEW YORK, NY
Past
September 16, 2011 - September 27, 2012
CANACCORD GENUITY SECURITIES LLC
BD
CRD#: 24790
NEW YORK, NY
Past
March 2, 2010 - June 3, 2011
FHN FINANCIAL SECURITIES CORP.
BD
CRD#: 46346
NEW YORK, NY
Past
February 26, 1999 - July 6, 1999
SANWA UNIVERSAL SECURITIES CO., LLC
BD
CRD#: 8427
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(6/5/2017)
RR
Alaska(6/5/2017)
RR
Arizona(6/5/2017)
RR
Arkansas(6/5/2017)
RR
California(6/5/2017)
RR
Colorado(6/5/2017)
RR
Connecticut(6/5/2017)
RR
Delaware(6/5/2017)
RR
District of Columbia(6/5/2017)
RR
Florida(6/5/2017)
RR
Georgia(6/5/2017)
RR
Hawaii(6/5/2017)
RR
Idaho(6/5/2017)
RR
Illinois(6/5/2017)
RR
Indiana(6/5/2017)
RR
Iowa(6/5/2017)
RR
Kansas(6/5/2017)
RR
Kentucky(6/5/2017)
RR
Louisiana(6/5/2017)
RR
Maine(6/5/2017)
RR
Maryland(6/5/2017)
RR
Massachusetts(6/5/2017)
RR
Michigan(6/5/2017)
RR
Minnesota(6/5/2017)
RR
Mississippi(6/5/2017)
RR
Missouri(6/5/2017)
RR
Montana(6/5/2017)
RR
Nebraska(6/5/2017)
RR
Nevada(6/5/2017)
RR
New Hampshire(6/5/2017)
RR
New Jersey(6/5/2017)
RR
New Mexico(6/5/2017)
RR
New York(6/5/2017)
RR
North Carolina(6/5/2017)
RR
North Dakota(6/5/2017)
RR
Ohio(6/5/2017)
RR
Oklahoma(6/5/2017)
RR
Oregon(6/5/2017)
RR
Pennsylvania(6/5/2017)
RR
Puerto Rico(6/5/2017)
RR
Rhode Island(6/5/2017)
RR
South Carolina(6/5/2017)
RR
South Dakota(6/5/2017)
RR
Tennessee(9/3/2019)
RR
Texas(6/5/2017)
RR
Utah(6/5/2017)
RR
Vermont(6/5/2017)
RR
Virginia(6/5/2017)
RR
Washington(6/5/2017)
RR
West Virginia(6/5/2017)
RR
Wisconsin(6/5/2017)
RR
Wyoming(6/5/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 8/1/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
TF
TD FINANCIAL PRODUCTS LLC
HEADLANDS GLOBAL MARKETS, LLC | TD SECURITIES AUTOMATED TRADING LLC | TD FINANCIAL PRODUCTS LLC | HEADLANDS TECH GLOBAL MARKETS, LLC | HEADLANDS TECH GLOBAL MARKETS
CRD#: 154838 / SEC#: , 8-68677
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
71 S. Wacker Drive Suite 550, Chicago, IL 60606
Mailing Address
71 S. Wacker Drive Suite 550, Chicago, IL 60606
Phone number
(312) 601-8643
Established
Delaware since 07/21/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.) INC. | OWNER | |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| MANNION, MARTIN | CO-HEAD OF ELECTRONIC TRADING | 4830837 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| SCHRAGER, MATTHEW | CO-HEAD OF ELECTRONIC TRADING | 6488305 |
| SUNDRAM, JEFFREY JOSEPH RODRIGUES | CHIEF COMPLIANCE OFFICER | 6191294 |
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.
