Emily Wogan

TD SECURITIES (USA) LLC

New York, NY 10017

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CRD#: 5576967

Professional summary

Emily Wogan, who also goes by Emily Trinidad, Emily Wogan, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.

Emily is registered as a RR (Registered Representative) and started their career in finance in 2008. Emily has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Emily Trinidad | Emily Wogan

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 Emily Wogan'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

June 20, 2024 - Present

TD SECURITIES (USA) LLC

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

CRD#: 18476

New York, NY

Past

July 29, 2022 - June 18, 2024

SCOTIA CAPITAL (USA) INC.

CRD#: 2739

NEW YORK, NY

Past

September 22, 2017 - July 22, 2022

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

August 22, 2017 - July 22, 2022

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

HOUSTON, TX

Past

November 28, 2008 - November 9, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PENNINGTON, NJ

Past

October 17, 2008 - November 9, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PENNINGTON, NJ

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
(6/20/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 11/26/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/16/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 2/7/2013

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/22/2012

General Securities Sales Supervisor - Options Module 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)

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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)

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.

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Firm Stability Insights

Emily Wogan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Emily Wogan's CRS (Customer Relationship Summary).

Certified licenses

Experience

SCOTIA CAPITAL (USA) INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 11/26/2008

SIE

Date: 10/1/2018

Series 7

Date: 10/16/2008

Series 10

Date: 2/7/2013

Series 9

Date: 12/22/2012

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

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