Robert Franciscus

TD SECURITIES (USA) LLC

New York, NY 10017

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CRD#: 5495091

Professional summary

Robert Franciscus is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York and TD PRIME SERVICES LLC located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2011. Robert has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Franciscus'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

August 2, 2011 - Present

TD SECURITIES (USA) LLC

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

CRD#: 18476

New York, NY

Current

February 12, 2019 - Present

TD PRIME SERVICES LLC

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

CRD#: 1914

New York, NY

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
(6/26/2012)

Exams

State Security Law Exam

Series 63

Date: 6/25/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 12/14/2011

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 8/1/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/6/2018

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

TD PRIME SERVICES LLC

ALBERT FRIED & COMPANY, LLC | TD PRIME SERVICES LLC

CRD#: 1914 / SEC#: , 8-3337

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

New York since 01/01/1996

Firm type

Limited Liability Company

Fiscal year end

October

Firm Size

Small

# 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
BALDASSANO, MATTHEW ANTHONY	MANAGING DIRECTOR, HEAD OF PRIME SERVICES	1645834
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/PRINCIPAL FINANCIAL OFFICER	2725922
PETROU, CHRISTINA A	CHIEF OPERATING OFFICER	4007468
PRINCIPATO, ANTHONY JOSEPH	PRINCIPAL OPERATIONS OFFICER / HEAD OF OPERATIONS

Disclosures

Regulatory Event

Red Flags

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Robert Franciscus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Franciscus's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIME SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/25/2012

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 79

Date: 12/14/2011

Series 7

Date: 8/1/2011

Series 24

Date: 8/6/2018

FINRA

Nasdaq Stock Market

Current Firm

TD PRIME SERVICES LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TD PRIME SERVICES LLC

TRUST BUT VERIFY

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