Andrew S. Wolfe

TD SECURITIES (USA) LLC

New York, NY 10017

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CRD#: 5471259

Professional summary

Andrew Steven Wolfe, who also goes by Andrew Steven Wolfe, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2012. Andrew has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Andrew Steven Wolfe

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.

1) DAVID POSNACK JEWISH COMMUNITIY CENTER - 5850 SOUTH PINE ISLAND ROAD, DAVIE, FL 33328; NON-INVESTMENT RELATED; CONTRIBUTE TO THE MISSION OF THE DPJCC; BOARD MEMBER; 5% OF TIME SPENT.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Steven Wolfe'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®

None

Experience

Current

October 3, 2024 - Present

TD SECURITIES (USA) LLC

Office #1: One Vanderbilt Avenue, New York, NY 10017

CRD#: 18476

New York, NY

Past

September 19, 2023 - October 4, 2024

TD PRIVATE CLIENT WEALTH LLC

RIA

CRD#: 164484

Fort Lauderdale, FL

Past

September 18, 2023 - October 4, 2024

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484

Fort Lauderdale, FL

Past

October 9, 2020 - July 13, 2022

LATIN SECURITIES INC.

CRD#: 164117

MIAMI, FL

Past

July 9, 2019 - September 5, 2023

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

FT. LAUDERDALE, FL

Past

July 1, 2019 - September 5, 2023

KOVACK SECURITIES INC.

CRD#: 44848

FORT LAUDERDALE, FL

Past

December 19, 2017 - June 26, 2019

TD SECURITIES (USA) LLC

CRD#: 18476

NEW YORK, NY

Past

March 2, 2017 - December 19, 2017

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

FT. LAUDERDALE, FL

Past

September 26, 2012 - December 19, 2017

KOVACK SECURITIES INC.

CRD#: 44848

FT. LAUDERDALE, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(10/3/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 2/25/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/25/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/21/2015

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

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

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.

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Advisor Monitoring

Firm Stability Insights

Andrew S. Wolfe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Steven Wolfe's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

TD PRIVATE CLIENT WEALTH LLC

LATIN SECURITIES INC.

KOVACK ADVISORS, INC.

KOVACK SECURITIES INC.

TD SECURITIES (USA) LLC

KOVACK ADVISORS, INC.

KOVACK SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/25/2017

SIE

Date: 10/1/2018

Series 7

Date: 9/25/2012

Series 24

Date: 4/21/2015

FINRA

Nasdaq Stock Market

Current Firm

TD SECURITIES (USA) LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TD SECURITIES (USA) LLC

TRUST BUT VERIFY

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