MC
Mukul Chhabra
TD SECURITIES (USA) LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 5129586
MC
Professional summary
Mukul Chhabra is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Mukul is registered as a RR (Registered Representative) and started their career in finance in 2006. Mukul has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Mukul Chhabra'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
August 29, 2025 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017BD
CRD#: 18476
New York, NY
Past
August 4, 2020 - July 18, 2025
BMO CAPITAL MARKETS CORP.
BD
CRD#: 16686
New York, NY
Past
July 21, 2017 - August 24, 2020
MIZUHO SECURITIES USA LLC
BD
CRD#: 19647
NEW YORK, NY
Past
August 8, 2016 - June 19, 2017
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
Past
May 8, 2012 - August 11, 2016
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
June 21, 2011 - February 22, 2012
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
July 14, 2006 - July 13, 2011
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
May 1, 2006 - June 19, 2006
OPTIVER US LLC
BD
CRD#: 128030
CHICAGO, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(8/29/2025)
RR
Alaska(8/29/2025)
RR
Arizona(8/29/2025)
RR
Arkansas(8/29/2025)
RR
California(8/29/2025)
RR
Colorado(8/29/2025)
RR
Connecticut(8/29/2025)
RR
Delaware(8/29/2025)
RR
District of Columbia(8/29/2025)
RR
Florida(8/29/2025)
RR
Georgia(8/29/2025)
RR
Hawaii(8/29/2025)
RR
Idaho(8/29/2025)
RR
Illinois(8/29/2025)
RR
Indiana(8/29/2025)
RR
Iowa(8/29/2025)
RR
Kansas(8/29/2025)
RR
Kentucky(8/29/2025)
RR
Louisiana(8/29/2025)
RR
Maine(8/29/2025)
RR
Maryland(8/29/2025)
RR
Massachusetts(8/29/2025)
RR
Michigan(8/29/2025)
RR
Minnesota(8/29/2025)
RR
Mississippi(8/29/2025)
RR
Missouri(8/29/2025)
RR
Montana(8/29/2025)
RR
Nebraska(8/29/2025)
RR
Nevada(8/29/2025)
RR
New Hampshire(8/29/2025)
RR
New Jersey(8/29/2025)
RR
New Mexico(8/29/2025)
RR
New York(8/29/2025)
RR
North Carolina(8/29/2025)
RR
North Dakota(8/29/2025)
RR
Ohio(8/29/2025)
RR
Oklahoma(8/29/2025)
RR
Oregon(8/29/2025)
RR
Pennsylvania(8/29/2025)
RR
Puerto Rico(8/29/2025)
RR
Rhode Island(8/29/2025)
RR
South Carolina(8/29/2025)
RR
South Dakota(8/29/2025)
RR
Tennessee(8/29/2025)
RR
Texas(8/29/2025)
RR
Utah(8/29/2025)
RR
Vermont(8/29/2025)
RR
Virginia(8/29/2025)
RR
Washington(8/29/2025)
RR
West Virginia(8/29/2025)
RR
Wisconsin(8/29/2025)
RR
Wyoming(8/29/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
TS
TD SECURITIES (USA) LLC
AMERICAN GOVERNMENT SECURITIES, INC. | TORONTO DOMINION SECURITIES CORP. | TORONTO DOMINION SECURITIES (USA) INC. | TD SECURITIES (USA) LLC | TD SECURITIES (USA) INC.
CRD#: 18476 / SEC#: , 8-36747
BD
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
One Vanderbilt Avenue, New York, NY 10017
Mailing Address
One Vanderbilt Avenue, New York, NY 10017
Phone number
(212) 827-7000
Established
Delaware since 11/01/2004
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
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
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.
