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AT

Alfredo E. Torres

TD PRIVATE CLIENT WEALTH LLC
Flushing, NY 11358
Some features on this profile are disabled
CRD#: 4614240
AT

Professional summary

Alfredo Enrique Torres, who also goes by Alfredo E Torres, Alfredo Enrique Torres Jr., Alfredo Enrique Torres, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Flushing, New York.

Alfredo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Alfredo has worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Alfredo E Torres | Alfredo Enrique Torres Jr. | Alfredo Enrique Torres

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) - RIA

Click below to view Alfredo Enrique Torres's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Alfredo Enrique Torres's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 23, 2025 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 196-41 Northern Boulevard, Flushing, NY 11358
RIA
BD
CRD#: 164484
Flushing, NY
Current

December 23, 2025 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 324 So. Service Road, Melville, NY 11747
RIA
BD
CRD#: 164484
Melville, NY
Past

August 9, 2023 - January 6, 2025

REGAL INVESTMENT ADVISORS LLC

RIA
CRD#: 125004
Brooklyn, NY
Past

August 9, 2023 - January 6, 2025

REGULUS FINANCIAL GROUP, LLC

BD
CRD#: 150631
Brooklyn, NY
Past

July 14, 2023 - August 17, 2023

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
Forest Hills, NY
Past

May 18, 2023 - August 17, 2023

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Forest Hills, NY
Past

September 19, 2012 - July 17, 2013

SANTANDER SECURITIES LLC

BD
CRD#: 41791
JACKSON HEIGHTS, NY
Past

May 29, 2007 - May 24, 2012

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
BROOKLYN, NY
Past

January 30, 2004 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
HOWARD BEACH, NY

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
New Jersey
(12/23/2025)
IAR
New Jersey
(12/23/2025)
RR
New York
(1/5/2026)
IAR
New York
(1/5/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/21/2023
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/16/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/18/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/12/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 1/28/2004
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/13/2006
Investment Company Products/Variable Contracts Principal Examination
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
671

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

TD PRIVATE CLIENT WEALTH LLC MANAGED ACCOUNT PROGRAM BROCHURE JANUARY 31 2026 (1/29/2026)
TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2026 (1/29/2026)

Direct owners and executive officers

NamePositionCRD#
TD BANK, NATIONAL ASSOCIATIONOWNER
BEGUN, ROBERTPRESIDENT4436053
CALDERON NAJERA, NAYRACCO5040972
CARROLL, ANNACOO4487506
CHABOT, ALAN JCEO2617874
ORTIZ, JORGE LUISCFO & FINOP2725922
WILSON, KEVIN KEITHFINOP5437711

Regulatory assets under management

Total Number of Accounts25,697
AUM (Assets Under Management)$ 8,255,945,350

Disclosures

Regulatory Event3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
05/30/2025
Cover Page
Report
09/27/2024
Cover Page
Report
06/27/2023
Cover Page
Report

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#: 164484Flushing, NY 11358

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