Kimberly R. Reynolds-mcfadden
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.
Kimberly R Reynolds-mcfadden, who also goes by Kimberly Rae Reynolds, Kimberly Reynoldsmcfadden, Kimberly Rae Reynolds-mcfadden, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 2000. Kimberly had worked at 6 firms and has passed the Series 66, Series 7TO, SIE, Series 7, Series 24, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2023 - October 18, 2024
TD PRIVATE CLIENT WEALTH LLC
January 21, 2011 - August 5, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 21, 2011 - August 5, 2011
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2009 - April 12, 2010
MORGAN STANLEY
June 1, 2009 - April 12, 2010
MORGAN STANLEY
July 1, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
June 26, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
October 20, 2004 - August 28, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 15, 2000 - October 20, 2004
QUICK & REILLY, 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
Exams
Series 7TO
Date: 11/30/2023
General Securities Representative ExaminationCurrent 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.
