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DM

Dorothy Motus-chin

TD SECURITIES (USA) LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 5084941
DM

Professional summary

Dorothy Motus-chin, who also goes by Dorothy M Motus, Dorothy Motus-chin, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York and TD PRIVATE CLIENT WEALTH LLC located in New York, New York.

Dorothy is registered as a RR (Registered Representative) and started their career in finance in 2010. Dorothy has worked at 5 firms and has passed the Series 99TO, SIE and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dorothy M Motus | Dorothy Motus-Chin

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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dorothy Motus-chin'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

September 13, 2024 - Present

TD SECURITIES (USA) LLC

Office #1: One Vanderbilt Avenue, New York, NY 10017
BD
CRD#: 18476
New York, NY
Current

January 30, 2025 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017
RIA
BD
CRD#: 164484
New York, NY
Past

October 27, 2022 - September 9, 2024

SMBC NIKKO SECURITIES AMERICA, INC.

BD
CRD#: 28602
NEW YORK, NY
Past

June 6, 2022 - August 23, 2022

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
Jersey City, NJ
Past

August 20, 2010 - May 25, 2022

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/18/2010
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
TD BANK, NATIONAL ASSOCIATIONOWNER
BEAM, JAMES HENRY JR.PRESIDENT4274924
CALDERON NAJERA, NAYRACCO5040972
CHABOT, ALAN JCEO2617874
ORTIZ, JORGE LUISCFO & FINOP2725922
SCHAUTZ, JOHN LOUIS IIICOO1430568
WILSON, KEVIN KEITHFINOP5437711

Regulatory assets under management

Total Number of Accounts17,824
AUM (Assets Under Management)$ 6,450,375,507

Disclosures

Regulatory Event3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484New York, NY 10017

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