Joshua L. Winkler

TD PRIVATE CLIENT WEALTH LLC

Manchester, NH 03101

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CRD#: 4446253

Professional summary

Joshua Lee Winkler, who also goes by Joshua Lee Winkler, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Manchester, New Hampshire.

Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Joshua has worked at 13 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joshua Lee Winkler

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.

Rental Property - Receiving monthly rental compensation from tenant.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Lee Winkler's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Joshua Lee Winkler's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 21, 2022 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 300 Franklin Street, Manchester, NH 03101

RIA

CRD#: 164484

Manchester, NH

Current

April 19, 2022 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 300 Franklin Street, Manchester, NH 03101

RIA

CRD#: 164484

Manchester, NH

Past

December 18, 2018 - March 25, 2022

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

PORTSMOUTH, NH

Past

November 28, 2018 - March 25, 2022

CITIZENS SECURITIES, INC.

CRD#: 39550

PORTSMOUTH, NH

Past

August 12, 2016 - May 15, 2018

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

COLUMBUS, OH

Past

August 12, 2016 - May 15, 2018

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

OAKWOOD, OH

Past

May 13, 2016 - June 14, 2016

TD AMERITRADE, INC.

RIA

CRD#: 7870

SEATTLE, WA

Past

May 13, 2016 - June 14, 2016

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Seattle, WA

Past

May 3, 2016 - June 14, 2016

TD AMERITRADE, INC.

CRD#: 7870

SEATTLE, WA

Past

June 5, 2015 - April 27, 2016

OSAIC FA, INC.

RIA

CRD#: 3978

CINCINNATI, OH

Past

June 4, 2015 - April 27, 2016

OSAIC FA, INC.

CRD#: 3978

CINCINNATI, OH

Past

August 9, 2011 - June 17, 2015

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

CINCINNATI, OH

Past

July 14, 2011 - June 17, 2015

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

CINCINNATI, OH

Past

March 4, 2010 - February 1, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

BEDFORD, NH

Past

March 4, 2010 - February 1, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

BEDFORD, NH

Past

November 17, 2009 - February 18, 2010

TD WEALTH MANAGEMENT SERVICES INC.

RIA

CRD#: 6940

CONCORD, NH

Past

November 17, 2009 - February 18, 2010

TD WEALTH MANAGEMENT SERVICES INC.

CRD#: 6940

CONCORD, NH

Past

January 14, 2008 - November 17, 2009

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

SUNCOOK, NH

Past

December 14, 2007 - November 17, 2009

BANCNORTH INVESTMENT GROUP, INC.

CRD#: 31299

SUNCOOK, NH

Past

June 4, 2007 - June 27, 2007

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

NASHUA, NH

Past

December 5, 2001 - December 20, 2006

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

MERRIMACK, NH

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(5/2/2025)

IAR

Florida
(5/5/2025)

Maine
(4/21/2022)

IAR

Maine
(4/21/2022)

Massachusetts
(4/25/2022)

IAR

Massachusetts
(5/4/2022)

New Hampshire
(4/29/2022)

IAR

New Hampshire
(4/29/2022)

North Carolina
(11/7/2024)

IAR

North Carolina
(11/7/2024)

South Carolina
(5/3/2024)

IAR

South Carolina
(5/6/2024)

Vermont
(10/12/2023)

IAR

Vermont
(10/12/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/27/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/18/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/4/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017

Mailing Address

1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017

Phone number

(877) 703-9896

Established

Delaware since 07/13/2012

Firm type

Limited Liability Company

Fiscal year end

October

Firm Size

Large

# of Employees

662

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TD PRIVATE CLIENT WEALTH LLC MANAGED ACCOUNT PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

Direct owners and executive officers

Name	Position	CRD#
TD BANK, NATIONAL ASSOCIATION	OWNER
BEAM, JAMES HENRY JR.	PRESIDENT	4274924
CALDERON NAJERA, NAYRA	CCO	5040972
CHABOT, ALAN J	CEO	2617874
ORTIZ, JORGE LUIS	CFO & FINOP	2725922
SCHAUTZ, JOHN LOUIS III	COO	1430568
WILSON, KEVIN KEITH	FINOP	5437711

Regulatory assets under management

Total Number of Accounts	17,824
AUM (Assets Under Management)	$ 6,450,375,507

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/30/2025	Cover Page	Report
09/27/2024	Cover Page	Report
06/27/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Joshua L. Winkler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Lee Winkler's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joshua Lee Winkler's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

OSAIC FA, INC.

OSAIC FA, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

TD WEALTH MANAGEMENT SERVICES INC.

TD WEALTH MANAGEMENT SERVICES INC.

CETERA INVESTMENT SERVICES LLC

BANCNORTH INVESTMENT GROUP, INC.

NEXT FINANCIAL GROUP, INC.

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/27/2007

Series 63

Date: 1/18/2002

SIE

Date: 5/15/2018

Series 7

Date: 12/4/2001

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

TD PRIVATE CLIENT WEALTH LLC

TRUST BUT VERIFY

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