LM
Luke M. Mccormick
TD PRIVATE CLIENT WEALTH LLC
Marlton, NJ 08053
Some features on this profile are disabled
CRD#: 4793876
LM
Professional summary
Luke Matthew Mccormick, who also goes by Luke Matthew Zielenbach, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Marlton, New Jersey.
Luke is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Luke has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Luke Matthew Zielenbach
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 Luke Matthew Mccormick's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Luke Matthew Mccormick'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
February 2, 2017 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 336 Route 70 East 2nd Floor, Marlton, NJ 08053RIA
BD
CRD#: 164484
Marlton, NJ
Current
January 30, 2017 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 336 Route 70 East 2nd Floor, Marlton, NJ 08053RIA
BD
CRD#: 164484
Marlton, NJ
Past
July 1, 2013 - January 17, 2017
TD AMERITRADE, INC.
RIA
CRD#: 7870
SHREWSBURY, NJ
Past
June 19, 2013 - January 17, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
SHREWSBURY, NJ
Past
March 22, 2013 - January 17, 2017
TD AMERITRADE, INC.
BD
CRD#: 7870
SHREWSBURY, NJ
Past
April 19, 2010 - March 20, 2013
GARDEN STATE SECURITIES, INC.
BD
CRD#: 10083
MANASQUAN, NJ
Past
August 18, 2004 - April 26, 2010
PAULSON INVESTMENT COMPANY LLC
BD
CRD#: 5670
PORTLAND, OR
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
Arizona(3/5/2025)
IAR
Arizona(3/25/2025)
RR
California(3/5/2025)
IAR
California(3/5/2025)
RR
Connecticut(3/5/2025)
IAR
Connecticut(3/5/2025)
RR
Delaware(12/9/2021)
IAR
Delaware(12/14/2021)
RR
Florida(12/10/2018)
IAR
Florida(12/11/2018)
RR
Iowa(5/8/2023)
IAR
Iowa(5/9/2023)
RR
Montana(6/15/2023)
IAR
Montana(6/16/2023)
RR
New Jersey(1/30/2017)
IAR
New Jersey(2/2/2017)
RR
New York(5/27/2020)
IAR
New York(8/23/2021)
IAR
North Carolina(4/5/2018)
RR
North Carolina(4/9/2018)
RR
Ohio(7/15/2022)
IAR
Ohio(7/15/2022)
RR
Rhode Island(12/6/2018)
IAR
Rhode Island(12/14/2018)
RR
South Carolina(8/6/2019)
IAR
South Carolina(8/9/2019)
RR
Wisconsin(8/6/2019)
IAR
Wisconsin(8/7/2019)
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.
