Frank R. Hartsfield
Professional summary
Frank Reid Hartsfield IV, CFP®, who also goes by Frank R Hartsfield IV, Frank Hartsfield, Reid Hartsfield, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Jacksonville, Florida.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Frank has worked at 6 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Frank Reid Hartsfield IV's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frank Reid Hartsfield IV's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2002
Experience
October 24, 2020 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 9715 Gate Parkway North, Jacksonville, FL 32246August 18, 2020 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 9715 Gate Parkway North, Jacksonville, FL 32246March 4, 2005 - November 10, 2010
BB&T ASSET MANAGEMENT, INC.
August 5, 2004 - March 23, 2005
INVESTACORP ADVISORY SERVICES INC
July 30, 2004 - February 25, 2005
INVESTACORP, INC.
April 3, 2003 - August 5, 2004
CITIGROUP GLOBAL MARKETS INC.
March 26, 2003 - August 5, 2004
CITIGROUP GLOBAL MARKETS INC.
September 11, 2000 - March 25, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 8, 2000 - March 25, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
(9/16/2020)
(10/24/2020)
Exams
Series 7TO
Date: 8/18/2020
General Securities Representative ExaminationFINRA
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.
Company Information
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484Jacksonville, FL 32246TRUST BUT VERIFY
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