Matthew Rick
Professional summary
Matthew Rick, who also goes by Matthew S Rick, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Wellesley, Massachusetts.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Matthew has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 23, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Rick's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Rick's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 12, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 999 Worcester Street, Wellesley, MA 02482October 6, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 999 Worcester Street, Wellesley, MA 02482November 6, 2017 - September 30, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 31, 2017 - September 30, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 5, 2013 - April 28, 2017
PNC WEALTH MANAGEMENT LLC
March 4, 2013 - April 28, 2017
PNC WEALTH MANAGEMENT LLC
May 7, 2004 - December 18, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 13, 2004 - December 18, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 24, 2003 - December 18, 2003
AMERITAS INVESTMENT COMPANY, LLC
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/6/2023)
(10/12/2023)
Exams
FINRA
Current Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
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#: 164484Wellesley, MA 02482TRUST BUT VERIFY
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