Joseph W. Paulter

TD SECURITIES (USA) LLC

New York, NY 10017

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CRD#: 4824310

Professional summary

Joseph William Paulter is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2005. Joseph has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

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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

July 23, 2024 - Present

TD SECURITIES (USA) LLC

Office #1: One Vanderbilt Avenue, New York, NY 10017

CRD#: 18476

New York, NY

Past

March 31, 2014 - August 1, 2024

DAIWA CAPITAL MARKETS AMERICA INC.

CRD#: 1576

NEW YORK, NY

Past

December 22, 2010 - April 2, 2014

SG AMERICAS SECURITIES, LLC

CRD#: 128351

NEW YORK, NY

Past

June 11, 2007 - December 6, 2010

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

June 28, 2005 - January 31, 2007

TAFFERER TRADING, LLC

CRD#: 36816

JERSEY CITY, NJ

Past

June 16, 2005 - July 13, 2005

HENNION & WALSH, INC.

CRD#: 25766

PARSIPPANY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(10/16/2024)

Exams

State Security Law Exam

Series 63

Date: 1/12/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/28/2006

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/15/2005

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

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

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

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Firm Stability Insights

Joseph W. Paulter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph William Paulter's CRS (Customer Relationship Summary).

Certified licenses

Experience

DAIWA CAPITAL MARKETS AMERICA INC.

SG AMERICAS SECURITIES, LLC

MAXIM GROUP LLC

TAFFERER TRADING, LLC

HENNION & WALSH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/12/2008

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 2/28/2006

Series 7

Date: 6/15/2005

FINRA

Nasdaq Stock Market

Current Firm

TD SECURITIES (USA) LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TD SECURITIES (USA) LLC

TRUST BUT VERIFY

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