Dean Balsamo
Professional summary
Dean Balsamo is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Manchester, New Hampshire.
Dean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Dean has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Dean Balsamo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dean Balsamo's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 23, 2013 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1255 South Willow Street, Manchester, NH 03103February 28, 2013 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1255 South Willow Street, Manchester, NH 03103June 30, 2009 - December 13, 2012
TD AMERITRADE, INC.
June 30, 2009 - December 13, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 30, 2009 - December 13, 2012
TD AMERITRADE, INC.
December 5, 2005 - January 29, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 5, 2005 - January 29, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 26, 2003 - October 21, 2005
TD AMERITRADE, INC.
March 8, 2000 - October 21, 2005
TD AMERITRADE, INC.
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/11/2024)
(9/12/2024)
(4/23/2013)
(4/24/2013)
(4/23/2013)
(4/23/2013)
(7/10/2018)
(7/25/2018)
(4/23/2013)
(4/23/2013)
(4/23/2013)
(5/8/2013)
(3/4/2013)
(7/29/2021)
(9/11/2024)
(9/12/2024)
(4/23/2013)
(4/23/2013)
Exams
FINRA
Current Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
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.
