MM
Martin Mannion
TD FINANCIAL PRODUCTS LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4830837
MM
Professional summary
Martin Mannion, who also goes by Martin Joseph Mannion, is a registered financial professional 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 Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Martin Joseph Mannion
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) - BD
Click below to view Martin Mannion'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
November 18, 2013 - Present
TD FINANCIAL PRODUCTS LLC
Office #1: 71 S. Wacker Drive Suite 550, Chicago, IL 60606BD
CRD#: 154838
Chicago, IL
Current
March 20, 2025 - Present
TD SECURITIES (USA) LLC
Office #1: 71 S. Wacker Drive Suite 3000, Chicago, IL 60606BD
CRD#: 18476
Chicago, IL
Past
February 4, 2009 - November 8, 2012
CITADEL SECURITIES LLC
BD
CRD#: 116797
CHICAGO, IL
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
Alabama(11/22/2017)
RR
Alaska(5/17/2019)
RR
Arizona(9/26/2016)
RR
Arkansas(5/6/2019)
RR
California(11/18/2015)
RR
Colorado(3/21/2016)
RR
Connecticut(11/18/2015)
RR
Delaware(8/25/2016)
RR
District of Columbia(5/2/2019)
RR
Florida(8/8/2016)
RR
Georgia(1/27/2017)
RR
Hawaii(5/8/2019)
RR
Idaho(4/25/2019)
RR
Illinois(11/5/2015)
RR
Indiana(1/20/2017)
RR
Iowa(4/25/2019)
RR
Kansas(5/21/2019)
RR
Kentucky(5/1/2019)
RR
Louisiana(4/29/2019)
RR
Maine(5/31/2019)
RR
Maryland(2/19/2016)
RR
Massachusetts(1/13/2016)
RR
Michigan(11/18/2015)
RR
Minnesota(11/23/2016)
RR
Mississippi(4/25/2019)
RR
Missouri(1/18/2017)
RR
Montana(6/3/2019)
RR
Nebraska(6/14/2019)
RR
Nevada(5/2/2019)
RR
New Hampshire(11/21/2017)
RR
New Jersey(2/4/2016)
RR
New Mexico(6/18/2019)
RR
New York(11/18/2015)
RR
North Carolina(11/19/2015)
RR
North Dakota(5/1/2019)
RR
Ohio(1/27/2016)
RR
Oklahoma(4/26/2019)
RR
Oregon(5/14/2019)
RR
Pennsylvania(3/7/2016)
RR
Rhode Island(8/24/2016)
RR
South Carolina(4/29/2019)
RR
South Dakota(4/25/2019)
RR
Tennessee(9/3/2025)
RR
Texas(1/13/2016)
RR
Utah(8/23/2016)
RR
Vermont(5/3/2019)
RR
Virginia(8/11/2016)
RR
Washington(9/12/2016)
RR
West Virginia(5/13/2019)
RR
Wisconsin(9/9/2016)
RR
Wyoming(5/21/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/3/2009
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
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)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| 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 |
| SUNDRAM, JEFFREY JOSEPH RODRIGUES | CHIEF COMPLIANCE OFFICER | 6191294 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
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.
