VC
Victor Contente
TD PRIVATE CLIENT WEALTH LLC
Providence, RI 02903
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CRD#: 4236501
VC
Professional summary
Victor Contente, who also goes by VIctor M Contente, Victor Manuel Contente, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Providence, Rhode Island.
Victor is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Victor has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 24 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Victor M Contente | Victor Manuel Contente
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.
Name of Outside Business: Freelance writing, entering writing contests that may have monetary awards, getting a story or a book published, joining the Association of Rhode Island Authors (ARIA).; Investment Related:No; Address of Outside Business: 89 Irving Avenue, Rhode Island 02936; Nature of Outside Business This a blanket OBA in the vent that if I submit a short story to Envelope Stories ($100.00 prize and my story gets published and distributed in local supermarkets) or other writing contests that I may be reimbursed in the future if my story is accepted and/or gets approved for publishing and distribution.; Position: Freelance Writer; Start Date:6/26/19; Hours per month: 30; Hours per month during securities trading hours: 0; Description of Duties: Upon approval, I would consider my a freelance writer of sorts and would like to explore submitting short stories or articles for possible monetary awards/compensation and perhaps [publishing and distribution to the public.
CRS (Client Relationship Summary) - RIA
Click below to view Victor Contente's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Victor Contente'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 27, 2022 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 180 Westminster St, Providence, RI 02903RIA
BD
CRD#: 164484
Providence, RI
Current
February 8, 2022 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 336 Route 70 East 2nd Floor, Marlton, NJ 08053RIA
BD
CRD#: 164484
Marlton, NJ
Past
December 21, 2020 - February 4, 2022
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Providence, RI
Past
December 21, 2020 - February 4, 2022
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Providence, RI
Past
May 14, 2014 - December 31, 2020
TD AMERITRADE, INC.
RIA
CRD#: 7870
PROVIDENCE, RI
Past
May 14, 2014 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
PROVIDENCE, RI
Past
April 17, 2014 - December 31, 2020
TD AMERITRADE, INC.
BD
CRD#: 7870
PROVIDENCE, RI
Past
January 29, 2001 - December 20, 2002
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
November 8, 2000 - January 12, 2001
QUICK & REILLY, INC.
BD
CRD#: 11217
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".
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
Alabama(2/15/2024)
IAR
Alabama(2/20/2024)
RR
Alaska(2/15/2024)
IAR
Alaska(2/20/2024)
RR
Arizona(2/15/2024)
IAR
Arizona(3/4/2024)
RR
Arkansas(2/15/2024)
IAR
Arkansas(2/20/2024)
RR
California(2/15/2024)
IAR
California(2/15/2024)
RR
Colorado(2/15/2024)
IAR
Colorado(2/15/2024)
RR
Connecticut(2/15/2024)
IAR
Connecticut(2/15/2024)
RR
Delaware(2/15/2024)
IAR
Delaware(2/15/2024)
RR
Florida(2/15/2024)
IAR
Florida(2/16/2024)
RR
Georgia(3/22/2024)
IAR
Georgia(3/25/2024)
RR
Hawaii(2/15/2024)
IAR
Hawaii(2/20/2024)
RR
Idaho(2/15/2024)
IAR
Idaho(2/15/2024)
RR
Illinois(2/15/2024)
IAR
Illinois(2/22/2024)
RR
Indiana(2/15/2024)
IAR
Indiana(2/16/2024)
RR
Iowa(2/15/2024)
IAR
Iowa(2/19/2024)
RR
Kansas(2/15/2024)
IAR
Kansas(2/15/2024)
RR
Kentucky(2/15/2024)
IAR
Kentucky(2/20/2024)
RR
Louisiana(2/15/2024)
IAR
Louisiana(2/19/2024)
RR
Maine(2/15/2024)
IAR
Maine(2/20/2024)
RR
Maryland(2/15/2024)
IAR
Maryland(2/15/2024)
RR
Massachusetts(2/15/2024)
RR
Michigan(2/15/2024)
IAR
Michigan(2/19/2024)
RR
Minnesota(2/15/2024)
IAR
Minnesota(2/15/2024)
RR
Mississippi(2/15/2024)
IAR
Mississippi(2/21/2024)
RR
Missouri(2/15/2024)
IAR
Missouri(2/15/2024)
RR
Montana(2/15/2024)
IAR
Montana(2/21/2024)
RR
Nebraska(2/15/2024)
IAR
Nebraska(2/15/2024)
RR
Nevada(2/15/2024)
IAR
Nevada(2/16/2024)
RR
New Hampshire(2/15/2024)
IAR
New Hampshire(2/16/2024)
RR
New Jersey(2/15/2024)
IAR
New Jersey(2/15/2024)
RR
New Mexico(2/15/2024)
IAR
New Mexico(2/16/2024)
RR
New York(2/15/2024)
IAR
New York(2/15/2024)
RR
North Carolina(2/15/2024)
IAR
North Carolina(2/16/2024)
RR
North Dakota(2/15/2024)
IAR
North Dakota(2/21/2024)
RR
Ohio(2/15/2024)
IAR
Ohio(2/15/2024)
RR
Oklahoma(2/15/2024)
IAR
Oklahoma(2/15/2024)
RR
Oregon(2/15/2024)
IAR
Oregon(2/15/2024)
RR
Pennsylvania(2/15/2024)
IAR
Pennsylvania(2/16/2024)
RR
Rhode Island(10/27/2022)
IAR
Rhode Island(10/27/2022)
RR
South Carolina(2/15/2024)
IAR
South Carolina(2/22/2024)
RR
South Dakota(2/15/2024)
IAR
South Dakota(2/15/2024)
RR
Tennessee(2/15/2024)
RR
Texas(2/15/2024)
IAR
Texas(2/16/2024)
RR
Utah(2/15/2024)
IAR
Utah(2/15/2024)
RR
Vermont(2/15/2024)
IAR
Vermont(2/15/2024)
RR
Virginia(2/15/2024)
IAR
Virginia(2/15/2024)
RR
Washington(2/15/2024)
IAR
Washington(2/15/2024)
RR
West Virginia(2/15/2024)
IAR
West Virginia(2/22/2024)
RR
Wisconsin(2/15/2024)
IAR
Wisconsin(2/16/2024)
RR
Wyoming(2/15/2024)
IAR
Wyoming(2/21/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
Company Information
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484Providence, RI 02903TRUST BUT VERIFY
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