Brian Kennedy

TD SECURITIES (USA) LLC

BOSTON, MA 02109

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CRD#: 4601790

Professional summary

Brian Kennedy is a registered financial professional currently at TD SECURITIES (USA) LLC located in Boston, Massachusetts.

Brian is registered as a RR (Registered Representative) and started their career in finance in 2006. Brian has worked at 5 firms and has passed the Series 63, SIE, Series 86, Series 7 and Series 87 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 8, 2024 - Present

TD SECURITIES (USA) LLC

Office #1: 2 International Place 25th Floor, Boston, MA 02109

CRD#: 18476

BOSTON, MA

Past

January 29, 2018 - April 10, 2024

COWEN AND COMPANY

CRD#: 7616

BOSTON, MA

Past

December 13, 2010 - October 5, 2011

WELLS FARGO SECURITIES, LLC

CRD#: 126292

NEW YORK, NY

Past

July 8, 2010 - December 3, 2010

MACQUARIE CAPITAL (USA) INC.

CRD#: 36368

NEW YORK, NY

Past

March 5, 2007 - July 27, 2009

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

August 22, 2006 - February 9, 2007

WELLS FARGO SECURITIES, LLC

CRD#: 126292

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Massachusetts
(4/10/2024)

Exams

State Security Law Exam

Series 63

Date: 11/25/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 6/15/2018

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 1/27/2018

General Securities Representative Examination

General Industry/Product Exam

Series 87

Date: 10/28/2017

Research Analyst Exam - Part II Regulations Module

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

TD SECURITIES (USA) LLC

AMERICAN GOVERNMENT SECURITIES, INC. | TORONTO DOMINION SECURITIES CORP. | TORONTO DOMINION SECURITIES (USA) INC. | TD SECURITIES (USA) LLC | TD SECURITIES (USA) INC.

CRD#: 18476 / SEC#: , 8-36747

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

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Contact information

Main Address

One Vanderbilt Avenue, New York, NY 10017

Mailing Address

One Vanderbilt Avenue, New York, NY 10017

Phone number

(212) 827-7000

Established

Delaware since 11/01/2004

Firm type

Limited Liability Company

Fiscal year end

October

Firm Size

Large

# of Employees

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
JENKINS, CHRISTINE J	FINANCIAL & OPERATIONS PRINCIPAL	4911933
ORTIZ, JORGE LUIS	CHIEF FINANCIAL OFFICER	2725922
PETROU, CHRISTINA A	CHIEF OPERATING OFFICER	4007468

Disclosures

Regulatory Event	20
Criminal	1

Red Flags

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Brian Kennedy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Kennedy's CRS (Customer Relationship Summary).

Certified licenses

Experience

COWEN AND COMPANY

WELLS FARGO SECURITIES, LLC

MACQUARIE CAPITAL (USA) INC.

JEFFERIES LLC

WELLS FARGO SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/25/2017

SIE

Date: 10/1/2018

Series 86

Date: 6/15/2018

Series 7

Date: 1/27/2018

Series 87

Date: 10/28/2017

FINRA

Nasdaq Stock Market

Current Firm

TD SECURITIES (USA) LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TD SECURITIES (USA) LLC

TRUST BUT VERIFY

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