Elizabeth K. Breslin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Elizabeth Kathryn Breslin, who also goes by Elizabeth Breslin, Elizabeth Kathryn Glover, Elizabeth Perlmutter, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 2001. Elizabeth had worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2013 - July 16, 2014
TD PRIVATE CLIENT WEALTH LLC
February 28, 2013 - July 16, 2014
TD PRIVATE CLIENT WEALTH LLC
March 5, 2009 - November 16, 2012
TRUIST INVESTMENT SERVICES, INC.
October 28, 2008 - November 16, 2012
TRUIST INVESTMENT SERVICES, INC.
November 28, 2007 - October 20, 2008
WELLS FARGO CLEARING SERVICES, LLC
March 15, 2002 - October 23, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 13, 2001 - November 12, 2001
BANC OF AMERICA INVESTMENT SERVICES, 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
Exams
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.
