Jose R. Gautier

TD PRIVATE CLIENT WEALTH LLC

Miami Beach, FL 33139

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CRD#: 4049539

Professional summary

Jose R Gautier, who also goes by Jose R Gautier, Jose Gautier, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Miami Beach, Florida.

Jose is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Jose has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 55 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jose R Gautier | Jose Gautier

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.

1. GautierArt, sole owner and artist of an entity for selling art, non-investment related, start date 01/01/2018, Miami Beach FL, 20 hours monthly, none during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jose R Gautier's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jose R Gautier's CRS (Customer Relationship Summary).

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

January 9, 2025 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 350 Lincoln Rd 2nd Floor, Miami Beach, FL 33139

RIA

CRD#: 164484

Miami Beach, FL

Current

January 8, 2025 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 3450 Clark Road, Sarasota, FL 34231

RIA

CRD#: 164484

Sarasota, FL

Past

January 9, 2023 - October 28, 2024

SANTANDER SECURITIES LLC

RIA

CRD#: 41791

Coconut Grove, FL

Past

January 6, 2023 - October 28, 2024

SANTANDER SECURITIES LLC

CRD#: 41791

Coconut Grove, FL

Past

July 30, 2018 - December 22, 2022

CAPITAL ANALYSTS

RIA

CRD#: 162200

Miami, FL

Past

July 27, 2018 - December 22, 2022

LINCOLN INVESTMENT

RIA

CRD#: 519

Miami, FL

Past

July 26, 2018 - December 22, 2022

LINCOLN INVESTMENT

CRD#: 519

Miami, FL

Past

October 26, 2012 - July 23, 2018

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

COCONUT GROVE, FL

Past

September 27, 2010 - July 23, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

COCONUT GROVE, FL

Past

April 5, 2010 - July 22, 2010

EDWARD JONES

RIA

CRD#: 250

MIAMI LAKES, FL

Past

January 5, 2010 - July 22, 2010

EDWARD JONES

CRD#: 250

MIAMI LAKES, FL

Past

September 4, 2002 - October 22, 2003

WORLDCO, L.L.C.

CRD#: 24673

NEW YORK, NY

Past

November 8, 1999 - August 30, 2000

GKN SECURITIES CORP.

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".

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

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.

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

Florida
(1/8/2025)

IAR

Florida
(1/9/2025)

Maryland
(5/5/2025)

IAR

Maryland
(5/5/2025)

Missouri
(5/5/2025)

IAR

Missouri
(5/5/2025)

New Jersey
(9/17/2025)

IAR

New Jersey
(9/18/2025)

North Carolina
(5/5/2025)

IAR

North Carolina
(5/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/16/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/17/1999

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: 1/4/2010

General Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 8/17/2002

Limited Representative-Equity Trader Exam

SRO Registrations

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TD PRIVATE CLIENT WEALTH LLC MANAGED ACCOUNT PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

Direct owners and executive officers

Name	Position	CRD#
TD BANK, NATIONAL ASSOCIATION	OWNER
BEAM, JAMES HENRY JR.	PRESIDENT	4274924
CALDERON NAJERA, NAYRA	CCO	5040972
CHABOT, ALAN J	CEO	2617874
ORTIZ, JORGE LUIS	CFO & FINOP	2725922
SCHAUTZ, JOHN LOUIS III	COO	1430568
WILSON, KEVIN KEITH	FINOP	5437711

Regulatory assets under management

Total Number of Accounts	17,824
AUM (Assets Under Management)	$ 6,450,375,507

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/30/2025	Cover Page	Report
09/27/2024	Cover Page	Report
06/27/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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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Firm Stability Insights

Jose R. Gautier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jose R Gautier's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jose R Gautier's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

SANTANDER SECURITIES LLC

SANTANDER SECURITIES LLC

CAPITAL ANALYSTS

LINCOLN INVESTMENT

LINCOLN INVESTMENT

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

EDWARD JONES

EDWARD JONES

WORLDCO, L.L.C.

GKN SECURITIES CORP.

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/16/2010

Series 63

Date: 11/17/1999

SIE

Date: 10/1/2018

Series 7

Date: 1/4/2010

Series 55

Date: 8/17/2002

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

TD PRIVATE CLIENT WEALTH LLC

TRUST BUT VERIFY

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