Alston Lambert

TD SECURITIES (USA) LLC

New York, NY 10017

Some features on this profile are disabled

CRD#: 5576642

Professional summary

Alston Lambert, who also goes by Alston Eduardo Lambert II, Alston Eduardo Lambert, Alston Lambert, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.

Alston is registered as a RR (Registered Representative) and started their career in finance in 2008. Alston has worked at 6 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alston Eduardo Lambert Ii | Alston Eduardo Lambert | Alston Lambert

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 Alston Lambert'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

March 8, 2024 - Present

TD SECURITIES (USA) LLC

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

CRD#: 18476

New York, NY

Past

August 8, 2023 - April 10, 2024

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

June 2, 2021 - September 1, 2023

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

June 29, 2012 - April 7, 2021

BMO CAPITAL MARKETS CORP.

CRD#: 16686

NEW YORK, NY

Past

November 1, 2010 - April 18, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 3, 2008 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

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
(3/8/2024)

Exams

State Security Law Exam

Series 63

Date: 11/8/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/2/2008

General Securities Representative 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alston Lambert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alston Lambert's CRS (Customer Relationship Summary).

Certified licenses

Experience

COWEN AND COMPANY

CREDIT SUISSE SECURITIES (USA) LLC

BMO CAPITAL MARKETS CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/8/2008

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/2/2008

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

Similar Advisors