Yoav Wiegenfeld
Professional Summary
Yoav Wiegenfeld is a registered financial advisor currently at TD SECURITIES (USA) LLC. Yoav is registered as a RR (Registered Representative) and started their career in finance in 2006. Yoav has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
MARINER
CETERA INVESTMENT ADVISERS LLC
HUMAN INVESTING
OSAIC WEALTH, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
MARINER
CETERA INVESTMENT ADVISERS LLC
HUMAN INVESTING
OSAIC WEALTH, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
MARINER
CETERA INVESTMENT ADVISERS LLC
HUMAN INVESTING
OSAIC WEALTH, INC.
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.
Similar Advisors
MARINER
CETERA INVESTMENT ADVISERS LLC
HUMAN INVESTING
OSAIC WEALTH, INC.
Years of Experience
20 years in the financial services industry
Current & Past Employments
Similar Advisors
MARINER
CETERA INVESTMENT ADVISERS LLC
HUMAN INVESTING
OSAIC WEALTH, INC.
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
1Similar Advisors
MARINER
CETERA INVESTMENT ADVISERS LLC
HUMAN INVESTING
OSAIC WEALTH, INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
MARINER
CETERA INVESTMENT ADVISERS LLC
HUMAN INVESTING
OSAIC WEALTH, INC.
State Registrations and Notice Filings
(3/7/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
Similar Advisors
MARINER
CETERA INVESTMENT ADVISERS LLC
HUMAN INVESTING
OSAIC WEALTH, INC.
CRS (Client Relationship Summary) - BD
Click below to view Yoav Wiegenfeld's CRS (Customer Relationship Summary).
Similar Advisors
MARINER
CETERA INVESTMENT ADVISERS LLC
HUMAN INVESTING
OSAIC WEALTH, INC.
