Mitchell S. Friedman
Professional summary
Mitchell Seth Friedman, who also goes by Mitch Friedman, Mitchell S Friedman, Mitchell S. Friedman, Mitchell Seth Friedman, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Mitchell is registered as a RR (Registered Representative) and started their career in finance in 2006. Mitchell has worked at 9 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mitchell Seth Friedman's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 14, 2025 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017July 13, 2021 - October 15, 2025
SCOTIA CAPITAL (USA) INC.
November 1, 2018 - July 12, 2021
MUFG SECURITIES AMERICAS INC.
March 17, 2015 - November 1, 2018
J.P. MORGAN SECURITIES LLC
August 30, 2012 - January 9, 2015
NATWEST MARKETS SECURITIES INC.
June 27, 2011 - August 1, 2012
ALLY SECURITIES LLC
February 29, 2008 - July 7, 2011
RBC CAPITAL MARKETS, LLC
June 12, 2006 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
January 7, 2006 - February 23, 2006
PERSHING 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
(10/14/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
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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