Manu Srivareerat
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.
Manu Srivareerat, who also goes by Manu Roberts, was a registered financial professional .
Manu is a previously registered financial professional and started their career in finance in 2011. Manu had worked at 7 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2024 - October 10, 2025
TD SECURITIES (USA) LLC
December 9, 2021 - April 12, 2024
CITIGROUP GLOBAL MARKETS INC.
December 18, 2017 - December 16, 2021
UBS SECURITIES LLC
December 22, 2015 - December 4, 2017
JANNEY MONTGOMERY SCOTT LLC
November 8, 2013 - December 22, 2015
RBC CAPITAL MARKETS, LLC
September 26, 2012 - November 19, 2013
BNP PARIBAS SECURITIES CORP.
May 29, 2012 - November 19, 2013
BNP PARIBAS PRIME BROKERAGE, INC.
August 18, 2011 - May 22, 2012
BNP PARIBAS SECURITIES CORP.
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
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
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.
