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EA

Eric I. Assaraf

Some features on this profile are disabled
CRD#: 4624518
EA

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.

Eric I Assaraf, who also goes by Eric I Assaraf, was a registered financial professional .

Eric is a previously registered financial professional and started their career in finance in 2004. Eric had worked at 8 firms and has passed the SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Eric I Assaraf

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 6, 2024 - June 28, 2024

TD SECURITIES (USA) LLC

BD
CRD#: 18476
NEW YORK, NY
Past

August 9, 2016 - April 8, 2024

COWEN AND COMPANY

BD
CRD#: 7616
WASHINGTON, DC
Past

November 18, 2011 - August 5, 2016

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
WASHINGTON, DC
Past

November 1, 2010 - November 2, 2010

COWEN PRIME SERVICES LLC

BD
CRD#: 153397
WASHINGTON, DC
Past

November 1, 2010 - December 1, 2011

MF GLOBAL INC.

BD
CRD#: 6731
WASHINGTON, DC
Past

March 20, 2009 - November 2, 2010

SANDERS MORRIS LLC

BD
CRD#: 20580
WASHINGTON, DC
Past

November 10, 2004 - March 12, 2009

STANFORD GROUP COMPANY

BD
CRD#: 39285
WASHINGTON, DC
Past

February 10, 2004 - November 10, 2004

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/9/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/10/2009
General Securities Principal Examination

Current Firm

TS
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

BD
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)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TORONTO DOMINION HOLDINGS (U.S.A.), INC.PARENT
BROADBERY, MICHAELCHIEF COMPLIANCE OFFICER6947899
GIBSON, GLENNCHIEF EXECUTIVE OFFICER5659024
ORTIZ, JORGE LUISFINANCIAL & OPERATIONS PRINCIPAL2725922
PETROU, CHRISTINA ACHIEF OPERATING OFFICER4007468
WONG, KRISTIECHIEF FINANCIAL OFFICER4725261

Disclosures

Regulatory Event20
Criminal1

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 SECURITIES (USA) LLC

CRD#: 18476

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