LA
Louie S. Atangan
TD PRIVATE CLIENT WEALTH LLC
Vienna, VA 22182
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CRD#: 4220873
LA
Professional summary
Louie Saji Atangan is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Vienna, Virginia.
Louie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Louie has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Rental property in Woodbridge, VA, owner, not investment related, since 2010. Rental property owner of second property in Fairfax, VA, owner. not investment related, since 2012. 10 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view Louie Saji Atangan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Louie Saji Atangan'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®
NoneExperience
Current
October 20, 2016 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1919 Gallows Road 2nd Floor, Vienna, VA 22182RIA
BD
CRD#: 164484
Vienna, VA
Current
October 20, 2016 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1919 Gallows Road 2nd Floor, Vienna, VA 22182RIA
BD
CRD#: 164484
Vienna, VA
Past
September 21, 2016 - October 14, 2016
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
VIENNA, VA
Past
January 22, 2016 - October 14, 2016
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
VIENNA, VA
Past
January 22, 2016 - October 14, 2016
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
VIENNA, VA
Past
December 16, 2014 - January 11, 2016
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
MCLEAN, VA
Past
June 13, 2014 - January 11, 2016
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
MCLEAN, VA
Past
January 10, 2006 - June 15, 2012
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
HERNDON, VA
Past
March 18, 2004 - November 11, 2005
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
July 12, 2000 - September 15, 2003
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
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".
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
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.RR
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
RR
California(12/9/2016)
IAR
California(12/9/2016)
RR
District of Columbia(12/7/2022)
IAR
District of Columbia(1/4/2023)
RR
Florida(11/25/2019)
IAR
Florida(11/26/2019)
RR
Georgia(7/30/2024)
IAR
Georgia(8/2/2024)
RR
Maryland(12/7/2022)
IAR
Maryland(12/7/2022)
RR
Massachusetts(6/7/2017)
IAR
Massachusetts(6/14/2017)
RR
Michigan(9/5/2019)
IAR
Michigan(9/10/2019)
RR
New Hampshire(7/9/2024)
IAR
New Hampshire(7/10/2024)
RR
New Jersey(7/2/2018)
IAR
New Jersey(7/2/2018)
RR
New York(9/7/2018)
IAR
New York(7/29/2021)
RR
North Carolina(9/22/2023)
IAR
North Carolina(9/27/2023)
RR
Ohio(2/21/2024)
IAR
Ohio(2/21/2024)
RR
Pennsylvania(2/14/2019)
IAR
Pennsylvania(2/14/2019)
RR
South Carolina(1/23/2017)
IAR
South Carolina(1/24/2017)
RR
Virginia(10/20/2016)
IAR
Virginia(10/20/2016)
RR
Washington(8/12/2024)
IAR
Washington(8/12/2024)
RR
Wisconsin(2/3/2020)
IAR
Wisconsin(2/3/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
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
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.
