Lynne A. Cavanaugh

TD FINANCIAL PRODUCTS LLC

New York, NY 10017

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CRD#: 3265609

Professional summary

Lynne Ann Cavanaugh is a registered financial professional currently at TD FINANCIAL PRODUCTS LLC located in New York, New York.

Lynne is registered as a RR (Registered Representative) and started their career in finance in 1999. Lynne has worked at 5 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Lynne Ann Cavanaugh'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®

None

Experience

Current

September 26, 2025 - Present

TD FINANCIAL PRODUCTS LLC

Office #1: One Vanderbilt Avenue, New York, NY 10017

CRD#: 154838

New York, NY

Past

October 3, 2022 - October 31, 2025

TD SECURITIES (USA) LLC

CRD#: 18476

NEW YORK, NY

Past

May 10, 2019 - September 30, 2022

BOFA SECURITIES, INC.

CRD#: 283942

NEW YORK, NY

Past

January 15, 2010 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

July 22, 2004 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

October 11, 1999 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(9/26/2025)

Exams

State Security Law Exam

Series 63

Date: 12/16/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/8/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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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.

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Lynne A. Cavanaugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lynne Ann Cavanaugh's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD SECURITIES (USA) LLC

BOFA SECURITIES, INC.

BANC OF AMERICA SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 12/16/1999

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/8/1999

FINRA

Current Firm

TD FINANCIAL PRODUCTS LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

TD FINANCIAL PRODUCTS LLC

TRUST BUT VERIFY

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