RO
Richard Orsen
TD PRIME SERVICES LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 5192779
RO
Professional summary
Richard Orsen is a registered financial professional currently at TD PRIME SERVICES LLC located in New York, New York and TD SECURITIES (USA) LLC located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2006. Richard has worked at 5 firms and has passed the Series 66, Series 99TO, 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 Richard Orsen'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
March 11, 2020 - Present
TD PRIME SERVICES LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017BD
CRD#: 1914
New York, NY
Current
January 31, 2025 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017BD
CRD#: 18476
New York, NY
Past
August 27, 2016 - April 1, 2020
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
August 27, 2009 - November 20, 2012
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
September 28, 2006 - August 30, 2007
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ISELIN, NJ
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(3/11/2020)
RR
Alaska(3/11/2020)
RR
Arizona(3/11/2020)
RR
Arkansas(3/11/2020)
RR
California(3/11/2020)
RR
Colorado(3/11/2020)
RR
Connecticut(3/11/2020)
RR
Delaware(3/11/2020)
RR
District of Columbia(3/11/2020)
RR
Florida(3/11/2020)
RR
Georgia(3/11/2020)
RR
Hawaii(3/11/2020)
RR
Idaho(3/11/2020)
RR
Illinois(3/11/2020)
RR
Indiana(3/11/2020)
RR
Iowa(3/11/2020)
RR
Kansas(3/11/2020)
RR
Kentucky(3/11/2020)
RR
Louisiana(3/11/2020)
RR
Maine(3/11/2020)
RR
Maryland(3/11/2020)
RR
Massachusetts(3/11/2020)
RR
Michigan(3/11/2020)
RR
Minnesota(3/11/2020)
RR
Mississippi(3/11/2020)
RR
Missouri(3/11/2020)
RR
Montana(3/11/2020)
RR
Nebraska(3/11/2020)
RR
Nevada(3/11/2020)
RR
New Hampshire(3/11/2020)
RR
New Jersey(3/11/2020)
RR
New Mexico(3/11/2020)
RR
New York(3/11/2020)
RR
North Carolina(3/11/2020)
RR
North Dakota(3/11/2020)
RR
Ohio(3/11/2020)
RR
Oklahoma(3/11/2020)
RR
Oregon(3/11/2020)
RR
Pennsylvania(3/11/2020)
RR
Puerto Rico(3/11/2020)
RR
Rhode Island(3/11/2020)
RR
South Carolina(3/11/2020)
RR
South Dakota(3/11/2020)
RR
Tennessee(3/11/2020)
RR
Texas(3/11/2020)
RR
Utah(3/11/2020)
RR
Vermont(3/11/2020)
RR
Virginia(3/11/2020)
RR
Washington(3/11/2020)
RR
West Virginia(3/11/2020)
RR
Wisconsin(3/11/2020)
RR
Wyoming(3/11/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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 PEARL, 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)
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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.
