LD
Leonard Descartes
TD PRIVATE CLIENT WEALTH LLC
New York, NY 10001
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CRD#: 5139654
LD
Professional summary
Leonard Descartes is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in New York, New York.
Leonard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Leonard has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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 name of the other business; AMAZON whether the business is investment-related; NON INVESTMENT RELATED the address of the other business; 250 7TH AVE, NY, NY, 10001 the nature of the other business; GROCERY SHOPPING/PICKING your position; SHOPPER title, or relationship with the other business; AMAZON SHOPPER the start date of your relationship; 04/2020 the approximate number of hours/month you devote to the other business; 15 - 25 HOURS PER WEEK the number of hours you devote to the other business during securities trading hours; N/A and briefly describe your duties relating to the other business; GROCERY SHOPPING FOR CUSTOMERS, PREPARE ORDERS FOR DELIVERY
CRS (Client Relationship Summary) - RIA
Click below to view Leonard Descartes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Leonard Descartes'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
July 22, 2021 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 885 6th Avenue, New York, NY 10001RIA
BD
CRD#: 164484
New York, NY
Current
July 29, 2025 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1 Vanderbilt Avenue 23rd Floor, New York, NY 10017RIA
BD
CRD#: 164484
New York, NY
Past
February 5, 2014 - June 19, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
BROOKLYN, NY
Past
October 1, 2012 - October 23, 2013
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
BROOKLYN, NY
Past
June 28, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
BROOKLYN, NY
Past
July 11, 2006 - February 27, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
BROOKLYN, 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
IAR
Florida(6/11/2025)
RR
Florida(9/8/2025)
IAR
New Jersey(10/4/2021)
RR
New Jersey(9/8/2025)
IAR
New York(7/22/2021)
RR
New York(9/8/2025)
IAR
Ohio(3/7/2025)
RR
Ohio(9/10/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/29/2025
General Securities Representative ExaminationGeneral 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.
