John Ashelford
Professional summary
John Ashelford, who also goes by John L Ashelford III, John L Ashelford, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Milford, Connecticut.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. John has worked at 10 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Ashelford's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Ashelford's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 2, 2022 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1361 Boston Post Road, Milford, CT 06460March 26, 2025 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 203 Trumball Street 2nd Floor, Hartford, CT, 06103May 31, 2011 - November 11, 2011
LPL FINANCIAL LLC
May 31, 2011 - November 11, 2011
LPL FINANCIAL LLC
September 13, 2010 - June 1, 2011
NEWALLIANCE INVESTMENTS, INC.
August 17, 2005 - September 7, 2010
CHASE INVESTMENT SERVICES CORP.
August 17, 2005 - September 7, 2010
CHASE INVESTMENT SERVICES CORP.
November 3, 2004 - August 18, 2005
SIGNATOR INVESTORS, INC.
October 30, 2003 - October 19, 2004
PARK AVENUE SECURITIES LLC
April 2, 2002 - October 20, 2003
MSI FINANCIAL SERVICES, INC.
March 19, 2002 - October 20, 2003
METROPOLITAN LIFE INSURANCE COMPANY
March 19, 2002 - October 20, 2003
MSI FINANCIAL SERVICES, INC.
February 8, 2001 - February 21, 2002
IDS LIFE INSURANCE COMPANY
February 8, 2001 - February 21, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
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
(8/2/2022)
(7/3/2025)
Exams
Series 7TO
Date: 3/26/2025
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.
