AR
Anthony Ragozino
RBC CAPITAL MARKETS
NEW YORK, NY 10281
Some features on this profile are disabled
CRD#: 4725091
AR
Professional summary
Anthony Ragozino is a registered financial professional currently at RBC CAPITAL MARKETS, LLC located in New York, New York and TD SECURITIES (USA) LLC located in New York, New York.
Anthony is registered as a RR (Registered Representative) and started their career in finance in 2004. Anthony has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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) - BD
Click below to view Anthony Ragozino'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 2, 2014 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 200 Vesey St., New York, NY 10281RIA
BD
CRD#: 31194
NEW YORK, NY
Current
October 31, 2025 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017BD
CRD#: 18476
New York, NY
Past
January 4, 2010 - March 12, 2014
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
January 21, 2004 - December 23, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(6/2/2014)
RR
Alaska(6/2/2014)
RR
Arizona(6/2/2014)
RR
Arkansas(6/2/2014)
RR
California(6/2/2014)
RR
Colorado(6/2/2014)
RR
Connecticut(6/2/2014)
RR
Delaware(6/2/2014)
RR
District of Columbia(6/2/2014)
RR
Florida(6/2/2014)
RR
Georgia(6/2/2014)
RR
Hawaii(6/2/2014)
RR
Idaho(6/2/2014)
RR
Illinois(6/2/2014)
RR
Indiana(6/2/2014)
RR
Iowa(6/2/2014)
RR
Kansas(6/2/2014)
RR
Kentucky(6/2/2014)
RR
Louisiana(6/2/2014)
RR
Maine(6/2/2014)
RR
Maryland(6/2/2014)
RR
Massachusetts(6/2/2014)
RR
Michigan(6/2/2014)
RR
Minnesota(6/2/2014)
RR
Mississippi(6/2/2014)
RR
Missouri(6/2/2014)
RR
Montana(6/2/2014)
RR
Nebraska(6/2/2014)
RR
Nevada(6/2/2014)
RR
New Hampshire(6/2/2014)
RR
New Jersey(6/2/2014)
RR
New Mexico(6/2/2014)
RR
New York(6/2/2014)
RR
North Carolina(6/2/2014)
RR
North Dakota(6/2/2014)
RR
Ohio(6/3/2014)
RR
Oklahoma(6/2/2014)
RR
Oregon(6/2/2014)
RR
Pennsylvania(6/2/2014)
RR
Puerto Rico(1/8/2021)
RR
Rhode Island(6/2/2014)
RR
South Carolina(6/2/2014)
RR
South Dakota(6/2/2014)
RR
Tennessee(6/2/2014)
RR
Texas(6/2/2014)
RR
Utah(6/2/2014)
RR
Vermont(6/2/2014)
RR
Virgin Islands(1/8/2021)
RR
Virginia(6/2/2014)
RR
Washington(6/2/2014)
RR
West Virginia(6/2/2014)
RR
Wisconsin(6/2/2014)
RR
Wyoming(6/2/2014)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
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)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
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.
