SA
Sheila M. Amaral
TD PRIVATE CLIENT WEALTH LLC
Hartford, CT 06103
Some features on this profile are disabled
CRD#: 4023548
SA
Professional summary
Sheila Marie Amaral, who also goes by Sheila Amaral, Sheila Marie Bassett, Sheila Marie Hebert, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Hartford, Connecticut.
Sheila is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Sheila has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sheila Amaral | Sheila Marie Bassett | Sheila Marie Hebert
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 name of the other business; Investment property 179 Stanley st new britain ct whether the business is investment-related; Investment the address of the other business; 179 Stanley St New Britain CT 06052 the nature of the other business; 2 family home - investment your position; part owner with spouse title, or relationship with the other business; owner the start date of your relationship; 2008 the approximate number of hours/month you devote to the other business; 1hr the number of hours you devote to the other business during securities trading hours; none and briefly describe your duties relating to the other business; passive investor, The Name of the other business: Southpike Auto Inc whether the business is investment-related; Not investement -related the address of the other business; 2027 No Broad St Meriden CT the nature of the other business; Used auto sales and service your position; listed as secretary on S corp filing title, or relationship with the other business; secretary the start date of your relationship; 12/2000 the approximate number of hours/month you devote to the other business; 1 hour per month the number of hours you devote to the other business during securities trading hours; no and briefly describe your duties relating to the other business; balancing checkbook
CRS (Client Relationship Summary) - RIA
Click below to view Sheila Marie Amaral's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sheila Marie Amaral'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 9, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 203 Trumball Street 2nd Floor, Hartford, CT, 06103RIA
BD
CRD#: 164484
Hartford, CT
Current
April 4, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 203 Trumball Street 2nd Floor, Hartford, CT, 06103RIA
BD
CRD#: 164484
Hartford, CT
Past
June 7, 2023 - June 7, 2023
TD PRIVATE CLIENT WEALTH LLC
RIA
CRD#: 164484
NEW YORK, NY
Past
May 29, 2007 - September 26, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEWINGTON, CT
Past
March 7, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
NEWINGTON, CT
Past
December 18, 2000 - October 4, 2006
WEBSTER INVESTMENT SERVICES, INC.
BD
CRD#: 46588
HAMDEN, CT
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
RR
Connecticut(9/22/2023)
IAR
Connecticut(9/22/2023)
RR
Florida(11/5/2024)
IAR
Florida(11/6/2024)
RR
Massachusetts(5/31/2023)
IAR
Massachusetts(6/9/2023)
RR
Texas(6/18/2025)
IAR
Texas(6/19/2025)
RR
Vermont(2/19/2025)
IAR
Vermont(2/19/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/4/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
