Veronica A. Taylor
Professional summary
Veronica A Taylor, who also goes by Ronnie Anne Taylor, Ronnie Taylor, Veronica A Taylor, Veronica A. Taylor, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Veronica is registered as a RR (Registered Representative) and started their career in finance in 2001. Veronica has worked at 9 firms and has passed the Series 63, Series 57TO, Series 79TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Veronica A Taylor's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 9, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017August 25, 2021 - December 9, 2024
COWEN AND COMPANY
June 6, 2013 - February 10, 2022
COWEN PRIME SERVICES LLC
September 2, 2008 - June 7, 2013
APB FINANCIAL GROUP, LLC
March 15, 2006 - October 27, 2006
KAUFMAN BROS., L.P.
January 3, 2006 - January 24, 2006
SETON SECURITIES GROUP, INC.
October 24, 2005 - January 3, 2006
NATIONAL SECURITIES CORPORATION
June 19, 2002 - December 9, 2003
EVOLUTION FINANCIAL TECHNOLOGIES, LLC
December 13, 2001 - February 20, 2002
NAVILLUS SECURITIES, 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
(12/9/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 1/19/2002
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
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
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