SM
Samir S. Makar
TD PRIVATE CLIENT WEALTH LLC
Melville, NY 11747
Some features on this profile are disabled
CRD#: 5028589
SM
Professional summary
Samir S Makar, who also goes by Samir Makar, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Melville, New York.
Samir is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Samir has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Samir Makar
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 name of the other business: real estate - No entity formed whether the business is investment-related; No the nature of the other business; Single family house your position: Landlord the start date of your relationship; 11/2020 the approximate number of hours/month you devote to the other business; 0 the number of hours you devote to the other business during securities trading hours;0 and briefly describe your duties relating to the other business; No other duties performed.
CRS (Client Relationship Summary) - RIA
Click below to view Samir S Makar's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Samir S Makar'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
April 25, 2019 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 324 So. Service Road, Melville, NY 11747RIA
BD
CRD#: 164484
Melville, NY
Current
April 24, 2019 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 324 So. Service Road, Melville, NY 11747RIA
BD
CRD#: 164484
Melville, NY
Past
April 27, 2012 - May 13, 2019
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
New York, NY
Past
April 27, 2012 - May 13, 2019
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
New York, NY
Past
November 24, 2010 - April 16, 2012
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
NEW YORK, NY
Past
November 24, 2010 - April 16, 2012
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK, NY
Past
September 5, 2008 - November 9, 2010
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
NEW YORK, NY
Past
April 23, 2007 - November 9, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
NEW YORK, NY
Past
September 30, 2005 - April 3, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(10/1/2019)
IAR
California(10/1/2019)
RR
Connecticut(4/24/2019)
IAR
Connecticut(4/25/2019)
RR
Florida(4/24/2019)
IAR
Florida(5/13/2019)
RR
Maryland(5/31/2019)
IAR
Maryland(6/6/2019)
RR
Massachusetts(6/20/2019)
IAR
Massachusetts(6/21/2019)
RR
Nevada(1/8/2025)
IAR
Nevada(1/9/2025)
RR
New Jersey(4/24/2019)
IAR
New Jersey(4/29/2019)
RR
New York(4/24/2019)
IAR
New York(8/5/2021)
RR
Pennsylvania(3/4/2022)
IAR
Pennsylvania(3/7/2022)
RR
Vermont(3/4/2022)
IAR
Vermont(3/4/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017
Mailing Address
1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017
Phone number
(877) 703-9896
Established
Delaware since 07/13/2012
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
662
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
