Chi C. Mak

TD PRIVATE CLIENT WEALTH LLC

Brooklyn, NY 11220

Some features on this profile are disabled

CRD#: 5045071

Professional summary

Chi Chui Mak, who also goes by Chi Chui Mak, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Brooklyn, New York.

Chi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Chi has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chi Chui Mak

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.

1.) Apple Bank. Financial consultant. yes, investment related. Started Oct 2018. Approx 160 hours per week. Approx 136 during trading hours. Banking.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chi Chui Mak's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Chi Chui Mak's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 28, 2023 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 6102 8th Avenue, Brooklyn, NY 11220

RIA

CRD#: 164484

Brooklyn, NY

Current

June 28, 2023 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 1 Vanderbilt Avenue 23rd Floor, New York, NY 10017

RIA

CRD#: 164484

New York, NY

Past

October 5, 2018 - June 23, 2023

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

FLUSHING, NY

Past

October 3, 2018 - June 23, 2023

OSAIC INSTITUTIONS, INC.

CRD#: 35371

FLUSHING, NY

Past

September 1, 2016 - October 12, 2018

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

FLUSHING, NY

Past

September 1, 2016 - October 12, 2018

J.P. MORGAN SECURITIES LLC

CRD#: 79

FLUSHING, NY

Past

July 1, 2016 - August 15, 2016

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

FLUSHING, NY

Past

July 1, 2016 - August 15, 2016

OSAIC INSTITUTIONS, INC.

CRD#: 35371

FLUSHING, NY

Past

July 29, 2010 - July 1, 2016

ESSEX NATIONAL SECURITIES, LLC

RIA

CRD#: 25454

FLUSHING, NY

Past

April 26, 2010 - June 8, 2010

ESSEX NATIONAL SECURITIES, LLC

RIA

CRD#: 25454

FLUSHING, NY

Past

April 26, 2010 - July 1, 2016

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

FLUSHING, NY

Past

April 13, 2009 - April 26, 2010

ESSEX NATIONAL SECURITIES, LLC

RIA

CRD#: 25454

FLUSHING, NY

Past

April 13, 2009 - April 26, 2010

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

FLUSHING, NY

Past

November 21, 2007 - March 26, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

FOREST HILLS, NY

Past

October 1, 2007 - March 26, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

FOREST HILLS, NY

Past

May 29, 2007 - September 6, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 12, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

NEW YORK, NY

Past

January 19, 2006 - September 7, 2006

HSBC SECURITIES (USA) INC.

CRD#: 19585

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".

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

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.

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

Connecticut
(9/10/2025)

IAR

Connecticut
(9/11/2025)

IAR

Maryland
(9/19/2025)

New Jersey
(9/11/2025)

IAR

New Jersey
(9/11/2025)

New York
(6/28/2023)

IAR

New York
(6/28/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/20/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/5/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/5/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/18/2006

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TD PRIVATE CLIENT WEALTH LLC MANAGED ACCOUNT PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

Direct owners and executive officers

Name	Position	CRD#
TD BANK, NATIONAL ASSOCIATION	OWNER
BEAM, JAMES HENRY JR.	PRESIDENT	4274924
CALDERON NAJERA, NAYRA	CCO	5040972
CHABOT, ALAN J	CEO	2617874
ORTIZ, JORGE LUIS	CFO & FINOP	2725922
SCHAUTZ, JOHN LOUIS III	COO	1430568
WILSON, KEVIN KEITH	FINOP	5437711

Regulatory assets under management

Total Number of Accounts	17,824
AUM (Assets Under Management)	$ 6,450,375,507

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/30/2025	Cover Page	Report
09/27/2024	Cover Page	Report
06/27/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

Matthew James Wang

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Chi C. Mak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chi Chui Mak's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Chi Chui Mak's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

ESSEX NATIONAL SECURITIES, LLC

ESSEX NATIONAL SECURITIES, LLC

ESSEX NATIONAL SECURITIES, LLC

ESSEX NATIONAL SECURITIES, LLC

ESSEX NATIONAL SECURITIES, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

HSBC SECURITIES (USA) INC.

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/20/2007

Series 63

Date: 12/5/2005

SIE

Date: 10/1/2018

Series 7

Date: 11/5/2007

Series 6

Date: 1/18/2006

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

TD PRIVATE CLIENT WEALTH LLC

TRUST BUT VERIFY

Similar Advisors