Courtney Mcallister Delena
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.
Courtney Mcallister Delena, who also goes by Courtney Mcallister, Courtney Mcallister D'elena, was a registered financial professional .
Courtney is a previously registered financial professional and started their career in finance in 2001. Courtney had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2021 - June 30, 2023
TD SECURITIES (USA) LLC
November 13, 2013 - June 3, 2021
MIZUHO SECURITIES USA LLC
May 6, 2013 - October 30, 2013
DAIWA CAPITAL MARKETS AMERICA INC.
April 2, 2012 - February 7, 2013
MUFG SECURITIES AMERICAS INC.
May 17, 2011 - April 3, 2012
NEWEDGE USA, LLC
November 1, 2010 - January 18, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 2009 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
November 21, 2001 - April 23, 2009
BNP PARIBAS SECURITIES CORP.
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 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
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.
