AC
Anna C. Carroll
TD PRIVATE CLIENT WEALTH LLC
BURLINGTON, VT 05401
Some features on this profile are disabled
CRD#: 4487506
AC
Professional summary
Anna Christina Carroll, who also goes by Anna Christina Carroll, Anna Christina Galleger, Anna Galleger, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Burlington, Vermont.
Anna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Anna has worked at 5 firms and has passed the Series 66, Series 52TO, Series 82TO, SIE, Series 7, Series 6, Series 27, Series 9, Series 10, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anna Christina Carroll | Anna Christina Galleger | Anna Galleger
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.
CRS (Client Relationship Summary) - RIA
Click below to view Anna Christina Carroll's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Anna Christina Carroll's 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®
NoneExperience
Current
December 22, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 111 Main Street, Burlington, VT 05401RIA
BD
CRD#: 164484
BURLINGTON, VT
Current
December 22, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 111 Main Street, Burlington, VT 05401RIA
BD
CRD#: 164484
BURLINGTON, VT
Past
December 20, 2016 - December 5, 2023
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
Dorchester, MA
Past
December 14, 2016 - December 5, 2023
SANTANDER SECURITIES LLC
BD
CRD#: 41791
Dorchester, MA
Past
October 1, 2012 - November 28, 2016
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
WESTERVILLE, OH
Past
October 1, 2012 - November 28, 2016
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
WESTERVILLE, OH
Past
October 31, 2006 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
COLUMBUS, OH
Past
July 6, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
COLUMBUS, OH
Past
February 6, 2002 - July 6, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
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
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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TP
TD PRIVATE CLIENT WEALTH LLC
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)
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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
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
Company Information
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484Burlington, VT 05401TRUST BUT VERIFY
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