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JC

James A. Cerefice

TD PRIVATE CLIENT WEALTH
New York, NY 10017
Some features on this profile are disabled
CRD#: 5390701
JC

Professional summary

James Anthony Cerefice, who also goes by James Cerefice, is a registered financial professional currently at TD PRIVATE CLIENT WEALTH LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2007. James has worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Cerefice

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) - BD

Click below to view James Anthony Cerefice's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 13, 2026 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 1 Vanderbilt Avenue 23rd Floor, New York, NY 10017
RIA
BD
CRD#: 164484
New York, NY
Past

May 2, 2024 - May 14, 2026

MUTUAL OF AMERICA SECURITIES LLC

BD
CRD#: 27878
NEW YORK, NY
Past

February 21, 2019 - April 29, 2024

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
NEW YORK, NY
Past

February 7, 2019 - April 29, 2024

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
NEW YORK, NY
Past

June 20, 2018 - February 5, 2019

ALLIANCEBERNSTEIN L.P.

RIA
CRD#: 108477
New York, NY
Past

December 20, 2017 - February 5, 2019

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NASHVILLE, TN
Past

February 13, 2015 - November 14, 2017

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
NEW YORK CITY, NY
Past

February 10, 2015 - November 14, 2017

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
NEW YORK CITY, NY
Past

December 4, 2013 - January 5, 2015

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
GARFIELD, NJ
Past

December 2, 2013 - January 5, 2015

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
GARFIELD, NJ
Past

October 1, 2012 - November 6, 2013

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
SADDLE BROOK, NJ
Past

October 1, 2012 - November 6, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
SADDLE BROOK, NJ
Past

December 18, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
ELMWOOD PARK, NJ
Past

December 18, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
ELMWOOD PARK, NJ
Past

March 10, 2008 - December 7, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
EAST ORANGE, NJ
Past

October 10, 2007 - December 7, 2009

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
EAST ORANGE, NJ

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/25/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/9/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/15/2018
General Securities Principal Examination
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
671

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 2026 (1/29/2026)
TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2026 (1/29/2026)

Direct owners and executive officers

NamePositionCRD#
TD BANK, NATIONAL ASSOCIATIONOWNER
BEGUN, ROBERTPRESIDENT4436053
CALDERON NAJERA, NAYRACCO5040972
CARROLL, ANNACOO4487506
CHABOT, ALAN JCEO2617874
ORTIZ, JORGE LUISCFO & FINOP2725922
WILSON, KEVIN KEITHFINOP5437711

Regulatory assets under management

Total Number of Accounts25,697
AUM (Assets Under Management)$ 8,255,945,350

Disclosures

Regulatory Event3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
05/30/2025
Cover Page
Report
09/27/2024
Cover Page
Report
06/27/2023
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.

Company Information

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484New York, NY 10017

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