Patrick J. Fontana
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.
Patrick Joseph Fontana, who also goes by Patrick Joseph Fontana Jr, Rick Joseph Fontana Jr., was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 2000. Patrick had worked at 7 firms and has passed the Series 63, Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2009 - August 27, 2013
TD SECURITIES (USA) LLC
March 12, 2008 - September 19, 2008
PURSUIT PARTNERS LLC
August 14, 2003 - November 26, 2004
E*TRADE GLOBAL ASSET MANAGEMENT, INC.
October 2, 2002 - August 14, 2003
E*TRADE SECURITIES LLC
March 20, 2001 - October 30, 2001
IDS LIFE INSURANCE COMPANY
March 20, 2001 - October 30, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
January 5, 2001 - February 7, 2001
IDS LIFE INSURANCE COMPANY
January 5, 2001 - February 7, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
September 5, 2000 - October 3, 2000
HENNION & WALSH, INC.
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
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
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.
