Cai Von Rumohr
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.
Cai Von Rumohr, who also goes by Cai Von-rumohr, Cai Vonrumohr, was a registered financial professional .
Cai is a previously registered financial professional and started their career in finance in 1970. Cai had worked at 4 firms and has passed the Series 7TO, SIE, Series 87, Series 41, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2024 - January 2, 2025
TD SECURITIES (USA) LLC
July 1, 1998 - April 11, 2024
COWEN AND COMPANY
February 28, 1976 - July 1, 1998
FINANCIAL SQUARE PARTNERS
September 8, 1970 - April 1, 1976
G S GRUMMAN & ASSOCIATES INC
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 41
Date: 7/21/1984
NYSE Allied Member ExaminationPC
Date: 6/2/1977
AMEX Put and Call ExamSeries 1
Date: 8/25/1970
Registered Representative ExaminationCurrent Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
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 | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
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.
