Martin Vegh
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Martin Vegh was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1970. Martin had worked at 8 firms and has passed the Series 63, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2009 - June 16, 2009
TD PRIME SERVICES LLC
March 25, 2002 - February 27, 2012
FAGENSON & CO., INC.
September 11, 1986 - October 1, 2003
STARR SECURITIES, INC.
February 28, 1983 - August 26, 1986
STARR SECURITIES, INC.
June 30, 1975 - May 19, 1983
MULLER AND COMPANY, INC.
April 2, 1973 - July 25, 1975
EVANS & CO., INC.
December 19, 1972 - April 20, 1973
PHILIPS, APPEL & WALDEN, INC.
November 20, 1970 - January 19, 1973
A. C. KLUGER & CO.
April 13, 1970 - June 13, 1972
KERN SECURITIES CORP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 6/22/1977
AMEX Put and Call ExamSeries 1
Date: 4/6/1970
Registered Representative ExaminationCurrent Firm
TD PRIME SERVICES LLC
CRD#: 1914 / SEC#: , 8-3337
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BALDASSANO, MATTHEW ANTHONY | MANAGING DIRECTOR, HEAD OF PRIME SERVICES | 1645834 |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| PRINCIPATO, ANTHONY JOSEPH | PRINCIPAL OPERATIONS OFFICER / HEAD OF OPERATIONS |
Disclosures
| Regulatory Event | 11 |
Red Flags
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