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PG

Paul Gallant

TD SECURITIES (USA)
Washington, DC 20007
Some features on this profile are disabled
CRD#: 4752297
PG

Professional summary

Paul Gallant, who also goes by Paul Francis Gallant Mr, Paul Francis Gallant, is a registered financial professional currently at TD SECURITIES (USA) LLC located in Washington, District Of Columbia.

Paul is registered as a RR (Registered Representative) and started their career in finance in 2004. Paul has worked at 8 firms and has passed the SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Paul Francis Gallant Mr | Paul Francis Gallant

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) - BD

Click below to view Paul Gallant'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®
None

Experience

Current

March 8, 2024 - Present

TD SECURITIES (USA) LLC

Office #1: 3000 K Street Nw Washington Harbour, Washington, DC 20007
BD
CRD#: 18476
Washington, DC
Past

August 9, 2016 - April 11, 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

March 31, 2004 - November 12, 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.

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
District of Columbia
(3/8/2024)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/30/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

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

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

TD SECURITIES (USA) LLC

CRD#: 18476Washington, DC 20007

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