JL
Julie A. Lopes
TD PRIVATE CLIENT WEALTH LLC
Springfield, MA 01103
Some features on this profile are disabled
CRD#: 5487680
JL
Professional summary
Julie Ann Lopes, who also goes by Julie Ann Rickson, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Springfield, Massachusetts.
Julie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Julie has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Julie Ann Rickson
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.
Name of Entity: Rewardstyle.LTK Address of Entity: Website Link: shopltk.com/explore/julie.ann.home Type of Business: Corporation Position: Home Decor Creator/Influencer Duties/Responsibilities: Posting home content and linking items from my home for followers to purchase. If an item is purchase by a follower, I can receive compensation. Compensation received:Commission Is this Outside Business Activity investment related? No Approximate amount of time devoted on a monthly basis: 10 hours Approximate amount of time devoted during normal trading hours: 0 Date of Initial involvement with organization: 10/11/2021 To the best of your knowledge, is there any current or prospective business relationship between the entity and TDPCW? No
CRS (Client Relationship Summary) - RIA
Click below to view Julie Ann Lopes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Julie Ann Lopes'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
April 23, 2013 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1441 Main Street, Springfield, MA 01103RIA
BD
CRD#: 164484
Springfield, MA
Current
February 28, 2013 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1441 Main Street, Springfield, MA 01103RIA
BD
CRD#: 164484
Springfield, MA
Past
November 17, 2009 - May 24, 2010
TD WEALTH MANAGEMENT SERVICES INC.
BD
CRD#: 6940
AGAWAM, MA
Past
February 21, 2008 - November 17, 2009
BANCNORTH INVESTMENT GROUP, INC.
BD
CRD#: 31299
AGAWAM, MA
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Connecticut(4/23/2013)
IAR
Connecticut(4/23/2013)
RR
Florida(4/23/2013)
IAR
Florida(4/24/2013)
RR
Maryland(9/11/2017)
IAR
Maryland(9/14/2017)
RR
Massachusetts(4/23/2013)
IAR
Massachusetts(4/29/2013)
RR
Montana(7/22/2025)
IAR
Montana(7/23/2025)
RR
New Hampshire(5/31/2016)
IAR
New Hampshire(5/31/2016)
RR
New Jersey(4/23/2013)
IAR
New Jersey(4/23/2013)
RR
New York(3/4/2013)
IAR
New York(8/5/2021)
RR
Tennessee(3/26/2025)
RR
Utah(12/9/2020)
IAR
Utah(12/10/2020)
RR
Virginia(9/22/2021)
IAR
Virginia(9/23/2021)
RR
Washington(8/11/2025)
IAR
Washington(8/12/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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
662
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
