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AB

Amy S. Baird

TD PRIVATE CLIENT WEALTH LLC
Exton, PA 19341
Some features on this profile are disabled
CRD#: 4290027
AB

Professional summary

Amy Sara Baird, who also goes by Amy Sara Baird, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Exton, Pennsylvania.

Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Amy has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Amy Sara Baird

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Sara Baird's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Amy Sara Baird's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 12, 2025 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 100 Iron Lake Blvd, Exton, PA 19341
RIA
BD
CRD#: 164484
Exton, PA
Current

December 12, 2025 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 100 Iron Lake Blvd, Exton, PA 19341
RIA
BD
CRD#: 164484
Exton, PA
Past

May 23, 2014 - July 3, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
WEST CHESTER, PA
Past

May 23, 2014 - July 3, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
WEST CHESTER, PA
Past

December 3, 2012 - May 5, 2014

1ST GLOBAL ADVISORS INC

RIA
CRD#: 111133
DALLAS, TX
Past

February 22, 2011 - May 5, 2014

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
DALLAS, TX
Past

October 23, 2009 - December 6, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
DALLAS, TX
Past

October 23, 2009 - December 6, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
DALLAS, TX
Past

October 9, 2007 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
ADDISON, TX
Past

October 9, 2007 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
ADDISON, TX
Past

March 20, 2007 - September 27, 2007

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
IRVING, TX
Past

November 2, 2005 - September 27, 2007

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
IRVING, TX
Past

November 17, 2000 - March 12, 2004

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA

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
Pennsylvania
(12/12/2025)
IAR
Pennsylvania
(12/12/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/19/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/16/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/16/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/27/2001
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/29/2001
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/28/2001
General Securities Principal Examination
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
671

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

TD PRIVATE CLIENT WEALTH LLC MANAGED ACCOUNT PROGRAM BROCHURE JANUARY 31 2026 (1/29/2026)
TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2026 (1/29/2026)

Direct owners and executive officers

NamePositionCRD#
TD BANK, NATIONAL ASSOCIATIONOWNER
BEGUN, ROBERTPRESIDENT4436053
CALDERON NAJERA, NAYRACCO5040972
CARROLL, ANNACOO4487506
CHABOT, ALAN JCEO2617874
ORTIZ, JORGE LUISCFO & FINOP2725922
WILSON, KEVIN KEITHFINOP5437711

Regulatory assets under management

Total Number of Accounts25,697
AUM (Assets Under Management)$ 8,255,945,350

Disclosures

Regulatory Event3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
05/30/2025
Cover Page
Report
09/27/2024
Cover Page
Report
06/27/2023
Cover Page
Report

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#: 164484Exton, PA 19341

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