Dennis J. Wakely

TD PRIVATE CLIENT WEALTH

Tampa, FL 33609

CRD#: 3175008

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Professional summary

Dennis Joseph Wakely, who also goes by Dennis Joseph Wakely Jr, Dennis Wakely, Dennis Joseph Wakely, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Tampa, Florida.

Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Dennis has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dennis Joseph Wakely Jr | Dennis Wakely | Dennis Joseph Wakely

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Joseph Wakely's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Dennis Joseph Wakely's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 26, 2026 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 2307 W Kennedy Boulevard, Tampa, FL 33609

RIA

CRD#: 164484

Tampa, FL

Current

May 22, 2026 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 2307 W Kennedy Boulevard, Tampa, FL 33609

RIA

CRD#: 164484

Tampa, FL

Past

November 14, 2024 - June 1, 2026

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

TAMPA, FL

Past

November 14, 2024 - June 1, 2026

LPL ENTERPRISE, LLC

CRD#: 8733

TAMPA, FL

Past

September 8, 2023 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

TAMPA, FL

Past

September 7, 2023 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

TAMPA, FL

Past

December 7, 2022 - September 6, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

HERNANDO BEACH, FL

Past

November 15, 2022 - September 5, 2023

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SALT LAKE CITY, UT

Past

June 15, 2021 - April 15, 2022

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

Manasquan, NJ

Past

January 12, 2017 - May 26, 2021

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Bridgewater, NJ

Past

January 12, 2017 - May 26, 2021

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Bridgewater, NJ

Past

August 7, 2015 - December 27, 2016

PACKERLAND BROKERAGE SERVICES, INC.

RIA

CRD#: 37031

Bloomsbury, NJ

Past

August 7, 2015 - December 27, 2016

PACKERLAND BROKERAGE SERVICES, INC.

CRD#: 37031

Bloomsbury, NJ

Past

March 7, 2014 - August 10, 2015

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

BRIDGEWATER, NJ

Past

March 7, 2014 - August 10, 2015

ONEAMERICA SECURITIES, INC.

CRD#: 4173

BRIDGEWATER, NJ

Past

November 30, 2012 - March 10, 2014

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

BLOOMSBURY, NJ

Past

November 30, 2012 - March 10, 2014

NATIONAL PLANNING CORPORATION

CRD#: 29604

BLOOMSBURY, NJ

Past

April 15, 2004 - November 27, 2012

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

BLOOMSBURY, NJ

Past

December 12, 2003 - November 27, 2012

NATIONAL PLANNING CORPORATION

CRD#: 29604

BLOOMSBURY, NJ

Past

October 23, 2002 - December 31, 2003

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

July 30, 2002 - October 24, 2002

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

WOODBRIDGE, NJ

Past

March 9, 1999 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

March 9, 1999 - October 24, 2002

EQUITABLE ADVISORS, LLC

CRD#: 6627

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".

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

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.

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

Florida
(5/22/2026)

IAR

Florida
(5/26/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/21/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/15/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/8/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/4/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

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

671

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TD PRIVATE CLIENT WEALTH LLC MANAGED ACCOUNT PROGRAM BROCHURE JANUARY 31 2026 (1/29/2026)

TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2026 (1/29/2026)

Direct owners and executive officers

Name	Position	CRD#
TD BANK, NATIONAL ASSOCIATION	OWNER
BEGUN, ROBERT	PRESIDENT	4436053
CALDERON NAJERA, NAYRA	CCO	5040972
CARROLL, ANNA	COO	4487506
CHABOT, ALAN J	CEO	2617874
ORTIZ, JORGE LUIS	CFO & FINOP	2725922
WILSON, KEVIN KEITH	FINOP	5437711

Regulatory assets under management

Total Number of Accounts	25,697
AUM (Assets Under Management)	$ 8,255,945,350

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/30/2025	Cover Page	Report
09/27/2024	Cover Page	Report
06/27/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Dennis J. Wakely

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Joseph Wakely's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Dennis Joseph Wakely's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

LPL ENTERPRISE, LLC

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

AE WEALTH MANAGEMENT, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

PACKERLAND BROKERAGE SERVICES, INC.

PACKERLAND BROKERAGE SERVICES, INC.

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

MML INVESTORS SERVICES, LLC

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/21/1999

Series 63

Date: 5/15/1999

SIE

Date: 10/1/2018

Series 7

Date: 3/8/1999

Series 24

Date: 10/4/2000

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

TD PRIVATE CLIENT WEALTH LLC

TRUST BUT VERIFY

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