Martin Mannion
Professional Summary
Martin Mannion, who also goes by Martin Joseph Mannion, is a registered financial advisor currently at TD FINANCIAL PRODUCTS LLC located in Chicago, Illinois and TD SECURITIES (USA) LLC located in Chicago, Illinois. Martin is registered as a RR (Registered Representative) and started their career in finance in 2009. Martin has worked at 3 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 53 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Martin Joseph Mannion
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
17 years in the financial services industry
Current & Past Employments
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Current Firm
AMERICAN GOVERNMENT SECURITIES, INC. | TORONTO DOMINION SECURITIES CORP. | TORONTO DOMINION SECURITIES (USA) INC. | TD SECURITIES (USA) LLC | TD SECURITIES (USA) INC.
Contact Information
Main Address
One Vanderbilt Avenue, New York, NY 10017Mailing Address
One Vanderbilt Avenue, New York, NY 10017Phone Number
(212) 827-7000Established
Delaware since 11/01/2004Firm Type
Limited Liability CompanyFiscal Year End
OctoberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
Disclosures
Regulatory Event
22Criminal
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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.
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State Registrations and Notice Filings
(11/22/2017)
(5/17/2019)
(9/26/2016)
(5/6/2019)
(11/18/2015)
(3/21/2016)
(11/18/2015)
(8/25/2016)
(5/2/2019)
(8/8/2016)
(1/27/2017)
(5/8/2019)
(4/25/2019)
(11/5/2015)
(1/20/2017)
(4/25/2019)
(5/21/2019)
(5/1/2019)
(4/29/2019)
(5/31/2019)
(2/19/2016)
(1/13/2016)
(11/18/2015)
(11/23/2016)
(4/25/2019)
(1/18/2017)
(6/3/2019)
(6/14/2019)
(5/2/2019)
(11/21/2017)
(2/4/2016)
(6/18/2019)
(11/18/2015)
(11/19/2015)
(5/1/2019)
(1/27/2016)
(4/26/2019)
(5/14/2019)
(3/7/2016)
(8/24/2016)
(4/29/2019)
(4/25/2019)
(9/3/2025)
(1/13/2016)
(8/23/2016)
(5/3/2019)
(8/11/2016)
(9/12/2016)
(5/13/2019)
(9/9/2016)
(5/21/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Mar 2009SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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SRO Registrations
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SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Martin Mannion's CRS (Customer Relationship Summary).
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