Eric Weissenstein
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.
Eric Weissenstein was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1999. Eric had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2024 - February 20, 2026
TD SECURITIES (USA) LLC
August 9, 2016 - April 11, 2024
COWEN AND COMPANY
November 21, 2011 - August 5, 2016
GUGGENHEIM SECURITIES, LLC
November 1, 2010 - November 2, 2010
COWEN PRIME SERVICES LLC
November 1, 2010 - December 1, 2011
MF GLOBAL INC.
March 20, 2009 - November 2, 2010
SANDERS MORRIS LLC
November 10, 2004 - March 12, 2009
STANFORD GROUP COMPANY
June 2, 2003 - November 9, 2004
CHARLES SCHWAB & CO., INC.
September 2, 2000 - June 10, 2003
UBS CAPITAL MARKETS L.P.
December 22, 1999 - September 7, 2000
CHARLES SCHWAB & CO., INC.
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 SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
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.
