Anthony J. Paparella
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.
Anthony Joseph Paparella, who also goes by Anthony J Paparella, Anthony Joseph Paparella, Anthony Paparella, Tony Paparella, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1999. Anthony had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2021 - July 26, 2024
TD PRIVATE CLIENT WEALTH LLC
September 15, 2021 - July 26, 2024
TD PRIVATE CLIENT WEALTH LLC
February 14, 2020 - June 9, 2020
FAMILY WEALTH PARTNERS LLC
March 19, 2018 - February 3, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 16, 2018 - February 3, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 19, 2017 - September 7, 2017
FIRST ADVISORS NATIONAL, LLC
November 15, 2007 - April 27, 2017
PNC WEALTH MANAGEMENT LLC
November 2, 2006 - April 27, 2017
PNC WEALTH MANAGEMENT LLC
November 7, 2003 - November 1, 2006
AMERICAN GENERAL SECURITIES INCORPORATED
March 11, 1999 - August 26, 1999
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
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 PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
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.
