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SS

Scott C. Soenen

CRD#: 4717864
Some features on this profile are disabled
SS
Scott Cristopher Soenen

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.

Scott Cristopher Soenen, who also goes by Scott C Soenen, Scott Cristopher Soenen, Scott Soenen, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 2003. Scott had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Scott C Soenen | Scott Cristopher Soenen | Scott Soenen

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

August 29, 2025 - June 12, 2026

TD PRIVATE CLIENT WEALTH LLC

RIA
CRD#: 164484
Mount Pleasant, SC
Past

August 29, 2025 - June 12, 2026

TD PRIVATE CLIENT WEALTH LLC

BD
CRD#: 164484
NEW YORK, NY
Past

December 21, 2023 - August 26, 2025

UNITED BROKERAGE SERVICES, INC

RIA
CRD#: 39062
Charleston, SC
Past

December 21, 2023 - August 26, 2025

UNITED BROKERAGE SERVICES, INC

BD
CRD#: 39062
Charleston, SC
Past

April 12, 2022 - December 6, 2023

TRUIST ADVISORY SERVICES, INC.

RIA
CRD#: 283390
MOUNT PLEASANT, SC
Past

April 12, 2022 - December 6, 2023

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
MOUNT PLEASANT, SC
Past

February 3, 2022 - March 29, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
MOUNT PLEASANT, SC
Past

February 3, 2022 - March 29, 2022

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MOUNT PLEASANT, SC
Past

July 6, 2021 - November 3, 2021

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
WAVERLY, IA
Past

June 25, 2021 - November 3, 2021

CUNA BROKERAGE SERVICES, INC.

RIA
CRD#: 13941
Mount Pleasant, SC
Past

August 12, 2019 - September 9, 2020

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
GREENVILLE, SC
Past

August 12, 2019 - September 9, 2020

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
GREENVILLE, SC
Past

October 20, 2017 - June 24, 2019

EMPOWER ADVISORY GROUP, LLC

RIA
CRD#: 112058
mount pleasant, SC
Past

October 20, 2017 - June 24, 2019

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

June 23, 2014 - October 9, 2017

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA
CRD#: 107319
MT. PLEASANT, SC
Past

December 7, 2012 - October 9, 2017

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
HARRISON, NY
Past

September 15, 2010 - November 8, 2012

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
CHARLESTON, SC
Past

September 13, 2010 - November 8, 2012

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
CHARLESTON, SC
Past

April 29, 2010 - September 8, 2010

SOUTHSTATE ADVISORY, INC.

RIA
CRD#: 153113
CHARLESTON, SC
Past

January 23, 2009 - August 31, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
CHARLOTTE, NC
Past

June 4, 2008 - August 31, 2009

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
CHARLOTTE, NC
Past

November 5, 2003 - May 27, 2008

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
CHARLOTTE, NC

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/21/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/16/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/25/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/4/2003
Investment Company Products/Variable Contracts Representative Examination

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)

FINRA licenses (51 States and Territories)

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#: 164484

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