Susan L. Thompson
Professional summary
Susan Lynne Thompson, who also goes by Susan Mcilroy, is a registered financial professional currently at TD SECURITIES (USA) LLC .
Susan is registered as a RR (Registered Representative) and started their career in finance in 2008. Susan has worked at 1 firm and has passed the Series 63, SIE, Series 79TO, Series 37 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Susan Lynne Thompson's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 18, 2008 - Present
TD SECURITIES (USA) LLC
Office #1: 66 Wellington Street, Toronto, Ontario, M5K1A2State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/23/2009)
Exams
Series 79TO
Date: 3/31/2023
Investment Banking Registered Representative ExaminationSeries 37
Date: 9/17/2008
Canada Module of the General Securities Registered Representative (With Options Questions)FINRA
Nasdaq Stock Market
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
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 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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