Justine-alexis R. Caguiat
Professional summary
Justine-alexis Rodolfo Caguiat, who also goes by Justine Rodolfo Caguiat, Justine Caguiat, Justine Alexis Rodolfo Caguiat, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Justine-alexis is registered as a RR (Registered Representative) and started their career in finance in 2014. Justine-alexis has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Justine-alexis Rodolfo Caguiat's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 9, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017October 18, 2022 - December 9, 2024
COWEN AND COMPANY
March 22, 2021 - September 13, 2022
COWEN AND COMPANY
November 20, 2017 - January 27, 2020
COWEN AND COMPANY
May 22, 2017 - October 20, 2017
MACQUARIE CAPITAL (USA) INC.
June 12, 2014 - February 9, 2016
BTIG, 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 BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
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 |
| 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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