Frances Saieva
Professional summary
Frances Saieva, who also goes by Frances M. Saieva, Frances M Saieva, Frances Marie Saieva, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Frances is registered as a RR (Registered Representative) and started their career in finance in 2005. Frances has worked at 7 firms and has passed the SIE, Series 7, Series 24 and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frances Saieva's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 23, 2025 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017October 8, 2019 - September 7, 2023
CITIGROUP GLOBAL MARKETS INC.
July 23, 2014 - May 7, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 24, 2006 - December 31, 2006
NATIONAL INVESTOR SERVICES CORP.
August 21, 2006 - February 8, 2007
TD AMERITRADE, INC.
May 16, 2005 - July 21, 2006
J.P. MORGAN CLEARING CORP.
May 16, 2005 - July 21, 2006
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Nasdaq Texas, LLC
New York Stock Exchange
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
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 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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