James Everett
Professional Summary
James Everett, who also goes by James Michael Everett Jr, Jim Everett Jr, James Michael Everett, is a registered financial advisor currently at TD SECURITIES (USA) LLC located in Summit, New Jersey. James is registered as a RR (Registered Representative) and started their career in finance in 2001. James has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 25, Series 7, Series 10, Series 4 and Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Michael Everett Jr, Jim Everett Jr, James Michael Everett
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
AMERICAN GOVERNMENT SECURITIES, INC. | TORONTO DOMINION SECURITIES CORP. | TORONTO DOMINION SECURITIES (USA) INC. | TD SECURITIES (USA) LLC | TD SECURITIES (USA) INC.
Contact Information
Main Address
One Vanderbilt Avenue, New York, NY 10017Mailing Address
One Vanderbilt Avenue, New York, NY 10017Phone Number
(212) 827-7000Established
Delaware since 11/01/2004Firm Type
Limited Liability CompanyFiscal Year End
OctoberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
Disclosures
Regulatory Event
22Criminal
1Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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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.
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SUMMIT PLACE FINANCIAL ADVISORS, LLC
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jul 2004Series 25 — NYSE Trading Assistant Examination
Passed Mar 2002Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Everett's CRS (Customer Relationship Summary).
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