CC
Cindy Chuk
TD PRIVATE CLIENT WEALTH LLC
Vienna, VA 22182
Some features on this profile are disabled
CRD#: 4668824
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Professional summary
Cindy Chuk, who also goes by Cindy Shukman Chatman, Cindy Shukman Chuk, Shuk Man Chuk, Shukman Cindy Chuk, Cindy S Chuk, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Vienna, Virginia.
Cindy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Cindy has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cindy Shukman Chatman | Cindy Shukman Chuk | Shuk Man Chuk | Shukman Cindy Chuk | Cindy S Chuk
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.
CRS (Client Relationship Summary) - RIA
Click below to view Cindy Chuk's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cindy Chuk's 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®
NoneExperience
Current
June 7, 2021 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1919 Gallows Road 2nd Floor, Vienna, VA 22182RIA
BD
CRD#: 164484
Vienna, VA
Current
June 7, 2021 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1919 Gallows Road 2nd Floor, Vienna, VA 22182RIA
BD
CRD#: 164484
Vienna, VA
Past
July 1, 2020 - May 5, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
BETHESDA, MD
Past
March 4, 2020 - May 4, 2021
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
BETHESDA, MD
Past
March 14, 2008 - February 25, 2020
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
OLNEY, MD
Past
May 29, 2007 - March 17, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WASHINGTON, DC
Past
September 12, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
WASHINGTON, DC
Past
June 27, 2005 - August 29, 2006
GUGGENHEIM DISTRIBUTORS, LLC
BD
CRD#: 40805
ROCKVILLE, MD
Past
October 14, 2004 - June 16, 2005
SCOTTRADE, INC.
BD
CRD#: 8206
ST. LOUIS, MO
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
Connecticut(9/7/2021)
IAR
Connecticut(9/7/2021)
RR
Delaware(9/7/2021)
IAR
Delaware(9/7/2021)
RR
District of Columbia(11/22/2021)
IAR
District of Columbia(12/17/2021)
RR
Florida(9/7/2021)
IAR
Florida(9/8/2021)
RR
Georgia(9/7/2021)
IAR
Georgia(9/8/2021)
RR
Maine(9/7/2021)
IAR
Maine(9/7/2021)
RR
Maryland(6/7/2021)
IAR
Maryland(6/7/2021)
RR
Massachusetts(9/16/2021)
IAR
Massachusetts(10/7/2021)
RR
New Hampshire(9/7/2021)
IAR
New Hampshire(9/7/2021)
RR
New Jersey(9/7/2021)
IAR
New Jersey(9/8/2021)
RR
New York(9/7/2021)
IAR
New York(9/7/2021)
RR
North Carolina(9/7/2021)
IAR
North Carolina(9/7/2021)
RR
Pennsylvania(9/7/2021)
IAR
Pennsylvania(9/7/2021)
RR
Rhode Island(9/7/2021)
IAR
Rhode Island(9/7/2021)
RR
South Carolina(9/7/2021)
IAR
South Carolina(9/7/2021)
RR
Vermont(9/7/2021)
IAR
Vermont(9/8/2021)
RR
Virginia(9/7/2021)
IAR
Virginia(9/7/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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
662
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.
