John Leto

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CRD#: 5148768

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Leto, who also goes by John N Leto, John Nmn Leto, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2006. John had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John N Leto | John Nmn Leto

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 16, 2013 - July 18, 2016

TD PRIVATE CLIENT WEALTH LLC

RIA

CRD#: 164484

NEW YORK, NY

Past

February 28, 2013 - July 18, 2016

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484

NEW YORK, NY

Past

December 1, 2009 - April 12, 2012

STANCHART SECURITIES INTERNATIONAL, INC.

CRD#: 145126

MIAMI, FL

Past

September 29, 2009 - December 2, 2009

LAZARD ASSET MANAGEMENT SECURITIES LLC

CRD#: 129119

NEW YORK, NY

Past

May 29, 2007 - October 22, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NEW YORK, NY

Past

May 29, 2007 - October 22, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 13, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

NEW YORK, NY

Past

August 2, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

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".

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/6/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/18/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/22/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/13/2006

General Securities Principal Examination

Current Firm

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

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

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

Name	Position	CRD#
TD BANK, NATIONAL ASSOCIATION	OWNER
BEAM, JAMES HENRY JR.	PRESIDENT	4274924
CALDERON NAJERA, NAYRA	CCO	5040972
CHABOT, ALAN J	CEO	2617874
ORTIZ, JORGE LUIS	CFO & FINOP	2725922
SCHAUTZ, JOHN LOUIS III	COO	1430568
WILSON, KEVIN KEITH	FINOP	5437711

Regulatory assets under management

Total Number of Accounts	17,824
AUM (Assets Under Management)	$ 6,450,375,507

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form 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.

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John Leto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

STANCHART SECURITIES INTERNATIONAL, INC.

LAZARD ASSET MANAGEMENT SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/6/2006

SIE

Date: 7/18/2016

Series 7

Date: 6/22/2006

Series 24

Date: 12/13/2006

Current Firm

TD PRIVATE CLIENT WEALTH LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

TD PRIVATE CLIENT WEALTH LLC

TRUST BUT VERIFY

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