Eric Weissenstein

TD SECURITIES (USA) LLC

Washington, DC 20007

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CRD#: 4027112

Professional summary

Eric Weissenstein is a registered financial professional currently at TD SECURITIES (USA) LLC located in Washington, District Of Columbia.

Eric is registered as a RR (Registered Representative) and started their career in finance in 1999. Eric has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 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 Eric Weissenstein'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

March 7, 2024 - Present

TD SECURITIES (USA) LLC

Office #1: 3000 K Street Nw Washington Harbour, Washington, DC 20007

CRD#: 18476

Washington, DC

Past

August 9, 2016 - April 11, 2024

COWEN AND COMPANY

CRD#: 7616

WASHINGTON, DC

Past

November 21, 2011 - August 5, 2016

GUGGENHEIM SECURITIES, LLC

CRD#: 40638

WASHINGTON, DC

Past

November 1, 2010 - November 2, 2010

COWEN PRIME SERVICES LLC

CRD#: 153397

WASHINGTON, DC

Past

November 1, 2010 - December 1, 2011

MF GLOBAL INC.

CRD#: 6731

WASHINGTON, DC

Past

March 20, 2009 - November 2, 2010

SANDERS MORRIS LLC

CRD#: 20580

WASHINGTON, DC

Past

November 10, 2004 - March 12, 2009

STANFORD GROUP COMPANY

CRD#: 39285

WASHINGTON, DC

Past

June 2, 2003 - November 9, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

September 2, 2000 - June 10, 2003

UBS CAPITAL MARKETS L.P.

CRD#: 2692

STAMFORD, CT

Past

December 22, 1999 - September 7, 2000

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

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

District of Columbia
(3/7/2024)

New York
(3/7/2024)

Virginia
(10/31/2024)

Exams

State Security Law Exam

Series 63

Date: 2/4/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/6/2014

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

TD SECURITIES (USA) LLC

AMERICAN GOVERNMENT SECURITIES, INC. | TORONTO DOMINION SECURITIES CORP. | TORONTO DOMINION SECURITIES (USA) INC. | TD SECURITIES (USA) LLC | TD SECURITIES (USA) INC.

CRD#: 18476 / SEC#: , 8-36747

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

One Vanderbilt Avenue, New York, NY 10017

Mailing Address

One Vanderbilt Avenue, New York, NY 10017

Phone number

(212) 827-7000

Established

Delaware since 11/01/2004

Firm type

Limited Liability Company

Fiscal year end

October

Firm Size

Large

# of Employees

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
JENKINS, CHRISTINE J	FINANCIAL & OPERATIONS PRINCIPAL	4911933
ORTIZ, JORGE LUIS	CHIEF FINANCIAL OFFICER	2725922
PETROU, CHRISTINA A	CHIEF OPERATING OFFICER	4007468

Disclosures

Regulatory Event	20
Criminal	1

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Eric Weissenstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric Weissenstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

COWEN AND COMPANY

GUGGENHEIM SECURITIES, LLC

COWEN PRIME SERVICES LLC

MF GLOBAL INC.

SANDERS MORRIS LLC

STANFORD GROUP COMPANY

CHARLES SCHWAB & CO., INC.

UBS CAPITAL MARKETS L.P.

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/4/2000

SIE

Date: 10/1/2018

Series 7

Date: 12/21/1999

Series 24

Date: 1/6/2014

FINRA

Nasdaq Stock Market

Current Firm

TD SECURITIES (USA) LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TD SECURITIES (USA) LLC

TRUST BUT VERIFY

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