Marc R. Charette

TD PRIVATE CLIENT WEALTH LLC

Hartford, CT 06103

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CRD#: 4462466

Professional summary

Marc Richard Charette, who also goes by Marc R Charette, Marc Richard Charette, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Hartford, Connecticut.

Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Marc has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marc R Charette | Marc Richard Charette

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.

Young Pharmaceuitcals-not investment related, 2144 Berlin turnpike Wethersfield Ct. 06109. Skin care. 2nd shift/weekend supervisor. 10/2012. approx 40-50 hrs/mo. Hours are done only after trading hours. Assist in labeling products and supervising after hours/weekend employees. (2) Mc drummer/music consultant llc, start date 12/01/2021, Musician , Drummer Approx 0 hours during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Richard Charette's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Marc Richard Charette'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

August 16, 2023 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 203 Trumball Street 2nd Floor, Hartford, CT, 06103

RIA

CRD#: 164484

Hartford, CT

Current

August 16, 2023 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 203 Trumball Street 2nd Floor, Hartford, CT, 06103

RIA

CRD#: 164484

Hartford, CT

Past

November 23, 2021 - September 6, 2023

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

West Hartford, CT

Past

September 17, 2021 - September 6, 2023

CHARLES SCHWAB & CO., INC.

CRD#: 5393

West Hartford, CT

Past

June 6, 2018 - September 10, 2021

PFS INVESTMENTS INC.

CRD#: 10111

ROCKY HILL, CT

Past

January 31, 2014 - April 5, 2018

OSAIC INSTITUTIONS, INC.

CRD#: 35371

SOUTHINGTON, CT

Past

July 25, 2013 - November 20, 2013

HARVEST CAPITAL LLC

CRD#: 35723

WETHERSFIELD, CT

Past

September 14, 2011 - March 14, 2012

LPL FINANCIAL LLC

CRD#: 6413

AVON, CT

Past

October 23, 2009 - August 5, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HARTFORD, CT

Past

June 12, 2006 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

HARTFORD, CT

Past

April 26, 2006 - May 18, 2006

IFMG SECURITIES, INC.

CRD#: 14416

FARMINGTON, CT

Past

January 9, 2003 - February 14, 2006

PEOPLE'S SECURITIES, INC.

CRD#: 13704

BRIDGEPORT, CT

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

California
(1/3/2024)

IAR

California
(1/3/2024)

Connecticut
(8/16/2023)

IAR

Connecticut
(8/16/2023)

Florida
(1/3/2024)

IAR

Florida
(1/4/2024)

Massachusetts
(4/1/2025)

IAR

Massachusetts
(4/10/2025)

New Jersey
(1/3/2024)

IAR

New Jersey
(1/3/2024)

New York
(1/3/2024)

IAR

New York
(1/3/2024)

North Carolina
(3/4/2025)

IAR

North Carolina
(3/5/2025)

Virginia
(5/22/2024)

IAR

Virginia
(5/23/2024)

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: 11/23/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/29/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/28/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/8/2003

Investment Company Products/Variable Contracts 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

Marc R. Charette

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Richard Charette's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Marc Richard Charette's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

PFS INVESTMENTS INC.

OSAIC INSTITUTIONS, INC.

HARVEST CAPITAL LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

IFMG SECURITIES, INC.

PEOPLE'S SECURITIES, INC.

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/23/2021

Series 63

Date: 5/29/2003

SIE

Date: 10/1/2018

Series 7

Date: 7/28/2010

Series 6

Date: 1/8/2003

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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