JS
James A. Spicer
TD SECURITIES (USA) LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 4281975
JS
Professional summary
James Anthony Charles Spicer, who also goes by James A Spicer, James A. Spicer, James Anthony Charles Spicer, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2000. James has worked at 6 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James A Spicer | James A. Spicer | James Anthony Charles Spicer
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view James Anthony Charles Spicer'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
September 24, 2018 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017BD
CRD#: 18476
New York, NY
Past
March 10, 2010 - October 24, 2018
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
Past
September 17, 2008 - March 11, 2010
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
October 12, 2006 - January 2, 2008
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
July 1, 2002 - October 27, 2006
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
October 18, 2000 - February 26, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(9/24/2018)
RR
Alaska(9/24/2018)
RR
Arizona(9/24/2018)
RR
Arkansas(9/24/2018)
RR
California(9/24/2018)
RR
Colorado(9/24/2018)
RR
Connecticut(9/24/2018)
RR
Delaware(9/24/2018)
RR
District of Columbia(9/24/2018)
RR
Florida(9/24/2018)
RR
Georgia(9/24/2018)
RR
Hawaii(9/24/2018)
RR
Idaho(9/24/2018)
RR
Illinois(9/24/2018)
RR
Indiana(9/24/2018)
RR
Iowa(9/24/2018)
RR
Kansas(9/24/2018)
RR
Kentucky(9/24/2018)
RR
Louisiana(9/24/2018)
RR
Maine(9/24/2018)
RR
Maryland(9/24/2018)
RR
Massachusetts(9/24/2018)
RR
Michigan(9/24/2018)
RR
Minnesota(9/24/2018)
RR
Mississippi(9/24/2018)
RR
Missouri(9/24/2018)
RR
Montana(9/24/2018)
RR
Nebraska(9/24/2018)
RR
Nevada(9/24/2018)
RR
New Hampshire(9/24/2018)
RR
New Jersey(9/24/2018)
RR
New Mexico(9/24/2018)
RR
New York(9/24/2018)
RR
North Carolina(9/24/2018)
RR
North Dakota(9/24/2018)
RR
Ohio(9/24/2018)
RR
Oklahoma(9/24/2018)
RR
Oregon(9/24/2018)
RR
Pennsylvania(9/24/2018)
RR
Puerto Rico(9/24/2018)
RR
Rhode Island(9/24/2018)
RR
South Carolina(9/24/2018)
RR
South Dakota(9/24/2018)
RR
Tennessee(9/24/2018)
RR
Texas(9/24/2018)
RR
Utah(9/24/2018)
RR
Vermont(9/24/2018)
RR
Virginia(9/24/2018)
RR
Washington(9/24/2018)
RR
West Virginia(9/24/2018)
RR
Wisconsin(9/24/2018)
RR
Wyoming(9/24/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
TS
TD SECURITIES (USA) LLC
AMERICAN GOVERNMENT SECURITIES, INC. | TORONTO DOMINION SECURITIES CORP. | TORONTO DOMINION SECURITIES (USA) INC. | TD SECURITIES (USA) LLC | TD SECURITIES (USA) INC.
CRD#: 18476 / SEC#: , 8-36747
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Vanderbilt Avenue, New York, NY 10017
Mailing Address
One Vanderbilt Avenue, New York, NY 10017
Phone number
(212) 827-7000
Established
Delaware since 11/01/2004
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
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.
