Gawain E. Mckenzie
Professional summary
Gawain Ellsworth Mckenzie, who also goes by Gawain Ellsworth Mckenzie, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in North Arlington, New Jersey.
Gawain is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Gawain has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Gawain Ellsworth Mckenzie's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gawain Ellsworth Mckenzie's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 7, 2022 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 454 Ridge Road, North Arlington, NJ 07031June 23, 2025 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1100 Lake Street 3rd Floor, Ramsey, NJ 07446October 1, 2012 - September 3, 2019
J.P. MORGAN SECURITIES LLC
October 1, 2012 - September 3, 2019
J.P. MORGAN SECURITIES LLC
September 29, 2004 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 28, 2004 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 13, 2003 - August 16, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 13, 2003 - August 16, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 24, 2001 - May 14, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 8, 2001 - March 8, 2001
MORGAN WILSHIRE SECURITIES, INC.
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
(6/8/2022)
(9/25/2025)
(6/7/2022)
(9/25/2025)
(10/26/2023)
(9/25/2025)
(1/3/2023)
(9/25/2025)
Exams
Series 7TO
Date: 6/23/2025
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.
