Ian Jackson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ian Jackson, who also goes by Ian Edward Jackson, was a registered financial professional .
Ian is a previously registered financial professional and started their career in finance in 2006. Ian had worked at 7 firms and has passed the Series 63, Series 82TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2023 - March 20, 2026
TD SECURITIES (USA) LLC
June 12, 2020 - January 12, 2023
CITADEL SECURITIES LLC
June 12, 2020 - January 12, 2023
CITADEL SECURITIES INSTITUTIONAL LLC
May 10, 2019 - June 2, 2020
BOFA SECURITIES, INC.
July 15, 2014 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2008 - July 23, 2014
CREDIT SUISSE SECURITIES (USA) LLC
June 6, 2006 - June 13, 2008
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
Series 82TO
Date: 4/17/2023
Limited Representative-Private Securities OfferingsCurrent 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
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.
