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DB

Daniel B. Bergman

TD SECURITIES (USA) LLC
BOSTON, MA 02109
Some features on this profile are disabled
CRD#: 4829388
DB

Professional summary

Daniel Basch Bergman, who also goes by Dan Basch Bergman, Daniel Bergman, Daniel Basch Bergman, is a registered financial professional currently at TD SECURITIES (USA) LLC located in Boston, Massachusetts.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2011. Daniel has worked at 5 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dan Basch Bergman | Daniel Bergman | Daniel Basch Bergman

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 Daniel Basch Bergman'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 6, 2024 - Present

TD SECURITIES (USA) LLC

Office #1: 2 International Place 25th Floor, Boston, MA 02109
BD
CRD#: 18476
BOSTON, MA
Past

August 8, 2023 - April 8, 2024

COWEN AND COMPANY

BD
CRD#: 7616
BOSTON, MA
Past

October 7, 2021 - August 14, 2023

JEFFERIES LLC

BD
CRD#: 2347
BOSTON, MA
Past

October 13, 2016 - October 4, 2021

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 18, 2011 - September 20, 2016

UBS SECURITIES LLC

BD
CRD#: 7654
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
Massachusetts
(4/8/2024)
RR
New York
(3/6/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/6/2011
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 86
Date: 12/14/2011
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 10/24/2011
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 7/15/2011
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
JENKINS, CHRISTINE JFINANCIAL & OPERATIONS PRINCIPAL4911933
ORTIZ, JORGE LUISCHIEF FINANCIAL OFFICER2725922
PETROU, CHRISTINA ACHIEF OPERATING OFFICER4007468

Disclosures

Regulatory Event20
Criminal1

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 SECURITIES (USA) LLC

CRD#: 18476Boston, MA 02109

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