Justin J. Pinto
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.
Justin John Pinto, who also goes by Justin Pinto, was a registered financial professional .
Justin is a previously registered financial professional and started their career in finance in 2007. Justin had worked at 5 firms and has passed the Series 63, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2019 - April 20, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 21, 2015 - August 8, 2018
FDX ADVISORS, INC.
April 30, 2013 - January 8, 2015
FDX ADVISORS, INC.
July 2, 2012 - January 2, 2013
FIRST ALLIED ADVISORY SERVICES, INC.
February 4, 2011 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
March 11, 2009 - February 3, 2011
FIRST ALLIED SECURITIES, INC.
January 2, 2009 - November 15, 2012
FIRST ALLIED SECURITIES, INC.
March 11, 2008 - December 16, 2008
FIRST MONTAUK SECURITIES CORP.
February 2, 2007 - December 16, 2008
FIRST MONTAUK SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
