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JC

Juliana Currier

TD SECURITIES (USA) LLC
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 5503672
JC

Professional summary

Juliana Currier, who also goes by Juliana Currier, Juliana E Traut, Juliana E. Traut, Juliana Traut, is a registered financial professional currently at TD SECURITIES (USA) LLC located in Dallas, Texas.

Juliana is registered as a RR (Registered Representative) and started their career in finance in 2010. Juliana has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Juliana Currier | Juliana E Traut | Juliana E. Traut | Juliana Traut

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 Juliana Currier'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

December 9, 2024 - Present

TD SECURITIES (USA) LLC

Office #1: 2021 Mckinney Avenue 19th Fl, Dallas, TX 75201
BD
CRD#: 18476
Dallas, TX
Past

August 14, 2019 - July 21, 2020

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NY, NY
Past

July 30, 2019 - December 9, 2024

COWEN AND COMPANY

BD
CRD#: 7616
DALLAS, TX
Past

July 30, 2019 - December 13, 2024

TD ARRANGED SERVICES LLC

BD
CRD#: 122529
NEW YORK, NY
Past

January 25, 2017 - August 15, 2019

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

May 17, 2012 - October 9, 2015

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
SAN FRANCISCO, CA
Past

August 25, 2010 - February 5, 2013

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY

State Registrations and Notice Filings

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

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
Alabama
(2/10/2025)
RR
Alaska
(2/10/2025)
RR
Arizona
(2/10/2025)
RR
Arkansas
(2/10/2025)
RR
California
(12/9/2024)
RR
Colorado
(2/10/2025)
RR
Connecticut
(2/10/2025)
RR
Delaware
(2/10/2025)
RR
District of Columbia
(2/10/2025)
RR
Florida
(2/10/2025)
RR
Georgia
(2/10/2025)
RR
Hawaii
(2/10/2025)
RR
Idaho
(2/10/2025)
RR
Illinois
(2/10/2025)
RR
Indiana
(2/10/2025)
RR
Iowa
(2/10/2025)
RR
Kansas
(2/10/2025)
RR
Kentucky
(2/10/2025)
RR
Louisiana
(2/10/2025)
RR
Maine
(2/10/2025)
RR
Maryland
(2/10/2025)
RR
Massachusetts
(2/10/2025)
RR
Michigan
(2/10/2025)
RR
Minnesota
(2/10/2025)
RR
Mississippi
(2/10/2025)
RR
Missouri
(2/10/2025)
RR
Montana
(2/10/2025)
RR
Nebraska
(2/10/2025)
RR
Nevada
(2/10/2025)
RR
New Hampshire
(2/10/2025)
RR
New Jersey
(2/10/2025)
RR
New Mexico
(2/10/2025)
RR
New York
(12/9/2024)
RR
North Carolina
(2/10/2025)
RR
North Dakota
(2/10/2025)
RR
Ohio
(2/11/2025)
RR
Oklahoma
(2/10/2025)
RR
Oregon
(2/10/2025)
RR
Pennsylvania
(2/10/2025)
RR
Puerto Rico
(2/10/2025)
RR
Rhode Island
(2/10/2025)
RR
South Carolina
(2/10/2025)
RR
South Dakota
(2/10/2025)
RR
Tennessee
(2/10/2025)
RR
Texas
(12/9/2024)
RR
Utah
(2/10/2025)
RR
Vermont
(2/10/2025)
RR
Virginia
(2/10/2025)
RR
Washington
(2/10/2025)
RR
West Virginia
(2/10/2025)
RR
Wisconsin
(2/10/2025)
RR
Wyoming
(2/10/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/27/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/24/2011
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 1/29/2011
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/24/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/18/2025
General Securities Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

TS
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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TORONTO DOMINION HOLDINGS (U.S.A.), INC.PARENT
BROADBERY, MICHAELCHIEF COMPLIANCE OFFICER6947899
GIBSON, GLENNCHIEF EXECUTIVE OFFICER5659024
JENKINS, CHRISTINE JFINANCIAL & OPERATIONS PRINCIPAL4911933
ORTIZ, JORGE LUISCHIEF FINANCIAL OFFICER2725922
PETROU, CHRISTINA ACHIEF OPERATING OFFICER4007468

Disclosures

Regulatory Event20
Criminal1

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 SECURITIES (USA) LLC

CRD#: 18476Dallas, TX 75201

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