DP
Duncan R. Parsley
TD PRIVATE CLIENT WEALTH LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 3250340
DP
Professional summary
Duncan Robert Parsley, who also goes by Duncan Robert Parsley, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in New York, New York.
Duncan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Duncan has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 9, Series 10, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Duncan Robert Parsley
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) - RIA
Click below to view Duncan Robert Parsley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Duncan Robert Parsley'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
May 6, 2024 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1 Vanderbilt Avenue 23rd Floor, New York, NY 10017RIA
BD
CRD#: 164484
New York, NY
Current
May 6, 2024 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1 Vanderbilt Avenue 23rd Floor, New York, NY 10017RIA
BD
CRD#: 164484
New York, NY
Past
May 3, 2013 - April 28, 2024
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
New York, NY
Past
May 3, 2013 - April 28, 2024
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
New York, NY
Past
May 29, 2007 - May 10, 2013
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NEW YORK, NY
Past
May 29, 2007 - May 10, 2013
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
August 19, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
MIAMI, FL
Past
May 10, 2002 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
MIAMI, FL
Past
September 23, 1999 - March 26, 2002
NATIONAL CLEARING CORP.
BD
CRD#: 14343
SHERMAN OAKS, CA
Past
July 15, 1999 - December 8, 1999
GKN SECURITIES CORP.
BD
CRD#: 19415
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".
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
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.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
IAR
California(7/11/2024)
RR
California(7/12/2024)
RR
Colorado(7/12/2024)
IAR
Colorado(7/12/2024)
RR
Connecticut(7/12/2024)
IAR
Connecticut(7/12/2024)
RR
Delaware(7/17/2024)
IAR
Delaware(7/17/2024)
RR
Florida(7/12/2024)
IAR
Florida(7/12/2024)
RR
Georgia(7/25/2024)
IAR
Georgia(7/25/2024)
RR
Idaho(7/12/2024)
IAR
Idaho(7/12/2024)
RR
Illinois(7/19/2024)
IAR
Illinois(7/19/2024)
RR
Indiana(7/12/2024)
IAR
Indiana(7/12/2024)
IAR
Louisiana(7/18/2024)
RR
Louisiana(8/1/2024)
RR
Maine(7/15/2024)
IAR
Maine(7/15/2024)
RR
Missouri(7/12/2024)
IAR
Missouri(7/12/2024)
IAR
Montana(7/15/2024)
RR
Montana(7/16/2024)
RR
New Hampshire(7/15/2024)
IAR
New Hampshire(7/15/2024)
RR
New Jersey(7/12/2024)
IAR
New Jersey(7/12/2024)
RR
New York(5/6/2024)
IAR
New York(5/6/2024)
IAR
North Carolina(7/11/2024)
RR
North Carolina(7/16/2024)
RR
Ohio(7/12/2024)
IAR
Ohio(7/12/2024)
RR
Pennsylvania(7/12/2024)
IAR
Pennsylvania(7/12/2024)
RR
Rhode Island(7/12/2024)
IAR
Rhode Island(7/12/2024)
RR
South Carolina(7/19/2024)
IAR
South Carolina(7/19/2024)
RR
Texas(7/11/2024)
IAR
Texas(7/11/2024)
RR
Vermont(7/12/2024)
IAR
Vermont(7/12/2024)
RR
Virginia(7/12/2024)
IAR
Virginia(7/12/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
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
662
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.
