Kevin R. Rae
Professional summary
Kevin Richard Rae, who also goes by Kevin R Rae, is a registered financial professional currently at TD ARRANGED SERVICES LLC located in New York, New York and TD SECURITIES (USA) LLC located in Stamford, Connecticut.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 2012. Kevin has worked at 6 firms and has passed the Series 57TO, SIE, Series 7 and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kevin Richard Rae's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 17, 2024 - Present
TD ARRANGED SERVICES LLC
Office #1: 1 Vanderbilt Avenue 11 Floor, New York, NY 10017December 9, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: 262 Harbor Blvd 2nd Floor, Stamford, CT 06902April 28, 2020 - December 9, 2024
COWEN AND COMPANY
June 6, 2017 - July 21, 2020
COWEN EXECUTION SERVICES LLC
October 31, 2013 - May 22, 2017
INTERACTIVE BROKERS LLC
August 27, 2012 - May 22, 2017
IBKR SECURITIES SERVICES 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
Exams
Series 57TO
Date: 6/14/2024
Securities Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
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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