Anna Carroll

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Contact Information

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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

24 years registered in the securities industry

Current & Past Employments

Current

TD PRIVATE CLIENT WEALTH LLCCurrent·CRD# 164484

RIA

BD

1. 111 Main Street, Burlington, VT 054012. Underhill, VT

December 22, 2023 - Present

TD PRIVATE CLIENT WEALTH LLCCurrent·CRD# 164484

RIA

BD

111 Main Street, Burlington, VT 05401

December 22, 2023 - Present

Past

SANTANDER SECURITIES LLCPast·CRD# 41791

RIA

Dorchester, MA

December 20, 2016 - December 5, 2023

SANTANDER SECURITIES LLCPast·CRD# 41791

BD

Dorchester, MA

December 14, 2016 - December 5, 2023

J.P. MORGAN SECURITIES LLCPast·CRD# 79

RIA

Westerville, OH

October 1, 2012 - November 28, 2016

J.P. MORGAN SECURITIES LLCPast·CRD# 79

BD

Westerville, OH

October 1, 2012 - November 28, 2016

CHASE INVESTMENT SERVICES CORP.Past·CRD# 25574

RIA

Columbus, OH

October 31, 2006 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.Past·CRD# 25574

BD

Columbus, OH

July 6, 2005 - October 1, 2012

BANC ONE SECURITIES CORPORATIONPast·CRD# 16999

BD

Chicago, IL

February 6, 2002 - July 6, 2005

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Current Firm

TP

TD PRIVATE CLIENT WEALTH LLC

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

RIA

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

BD

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

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

671

SEC notice filing (51 States and Territories)

Registered to provide investment advisory services in 51 US states and territories.

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 51 US 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 JUNE 12 2026 (6/12/2026)

TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2026 (1/29/2026)

Direct owners and executive officers

Name	Position	CRD#
TD BANK, NATIONAL ASSOCIATION	OWNER	—
BEGUN, ROBERT	PRESIDENT & DIRECTOR	4436053
CALDERON NAJERA, NAYRA	CCO	5040972
CARROLL, ANNA	COO & DIRECTOR	4487506
CHABOT, ALAN J	CEO & DIRECTOR	2617874
SNYDER, JONATHAN	CFO AND FINANCIAL AND OPERATIONS PRINCIPAL	6514215

Regulatory Assets Under Management

Total Number of Accounts

25,698

AUM (Assets Under Management)

$8,574,585,303

Disclosures

Regulatory Event

3

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

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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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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".

TP

TD PRIVATE CLIENT WEALTH LLC

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

RIA

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

BD

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.

RR

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

RR

Alabama
(1/3/2024)

IAR

Alabama
(1/3/2024)

RR

Alaska
(1/3/2024)

IAR

Alaska
(1/29/2024)

RR

Arizona
(1/3/2024)

IAR

Arizona
(1/10/2024)

RR

Arkansas
(1/3/2024)

IAR

Arkansas
(1/17/2024)

RR

California
(1/3/2024)

IAR

California
(1/3/2024)

RR

Colorado
(1/3/2024)

IAR

Colorado
(1/3/2024)

RR

Connecticut
(1/3/2024)

IAR

Connecticut
(1/3/2024)

RR

Delaware
(1/3/2024)

IAR

Delaware
(1/3/2024)

RR

District of Columbia
(1/3/2024)

IAR

District of Columbia
(1/17/2024)

RR

Florida
(1/3/2024)

IAR

Florida
(1/4/2024)

RR

Georgia
(1/3/2024)

IAR

Georgia
(1/9/2024)

RR

Hawaii
(1/3/2024)

IAR

Hawaii
(1/4/2024)

RR

Idaho
(1/3/2024)

IAR

Idaho
(1/3/2024)

RR

Illinois
(1/3/2024)

IAR

Illinois
(1/3/2024)

RR

Indiana
(1/3/2024)

IAR

Indiana
(1/3/2024)

RR

Iowa
(1/3/2024)

IAR

Iowa
(1/5/2024)

RR

Kansas
(1/3/2024)

IAR

Kansas
(1/3/2024)

RR

Kentucky
(1/3/2024)

IAR

Kentucky
(1/8/2024)

RR

Louisiana
(1/3/2024)

IAR

Louisiana
(1/9/2024)

RR

Maine
(1/3/2024)

IAR

Maine
(1/4/2024)

RR

Maryland
(1/3/2024)

IAR

Maryland
(1/3/2024)

RR

Massachusetts
(1/3/2024)

IAR

Massachusetts
(1/18/2024)

RR

Michigan
(1/3/2024)

IAR

Michigan
(1/5/2024)

RR

Minnesota
(1/3/2024)

IAR

Minnesota
(1/4/2024)

RR

Mississippi
(1/3/2024)

IAR

Mississippi
(1/11/2024)

RR

Missouri
(1/3/2024)

IAR

Missouri
(1/3/2024)

RR

Montana
(1/3/2024)

IAR

Montana
(1/4/2024)

RR

Nebraska
(1/3/2024)

IAR

Nebraska
(1/3/2024)

RR

Nevada
(1/3/2024)

IAR

Nevada
(1/9/2024)

RR

New Hampshire
(1/3/2024)

IAR

New Hampshire
(1/8/2024)

RR

New Jersey
(1/3/2024)

IAR

New Jersey
(1/3/2024)

RR

New Mexico
(1/3/2024)

IAR

New Mexico
(1/4/2024)

RR

New York
(12/22/2023)

IAR

New York
(12/22/2023)

RR

North Carolina
(1/3/2024)

IAR

North Carolina
(1/10/2024)

RR

North Dakota
(1/3/2024)

IAR

North Dakota
(1/9/2024)

RR

Ohio
(1/3/2024)

IAR

Ohio
(1/3/2024)

RR

Oklahoma
(1/3/2024)

IAR

Oklahoma
(1/8/2024)

RR

Oregon
(1/3/2024)

IAR

Oregon
(1/3/2024)

RR

Pennsylvania
(1/3/2024)

IAR

Pennsylvania
(1/4/2024)

RR

Rhode Island
(1/3/2024)

IAR

Rhode Island
(1/4/2024)

RR

South Carolina
(1/3/2024)

IAR

South Carolina
(1/3/2024)

RR

South Dakota
(1/3/2024)

IAR

South Dakota
(1/3/2024)

RR

Tennessee
(1/12/2024)

RR

Texas
(1/3/2024)

IAR

Texas
(1/3/2024)

RR

Utah
(1/3/2024)

IAR

Utah
(1/3/2024)

RR

Vermont
(12/22/2023)

IAR

Vermont
(1/2/2024)

RR

Virginia
(1/3/2024)

IAR

Virginia
(1/4/2024)

RR

Washington
(1/3/2024)

IAR

Washington
(1/3/2024)

RR

West Virginia
(1/3/2024)

IAR

West Virginia
(1/8/2024)

RR

Wisconsin
(1/3/2024)

IAR

Wisconsin
(1/3/2024)

RR

Wyoming
(1/3/2024)

IAR

Wyoming
(1/8/2024)

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.