Sean P. Fogarty

TD PRIVATE CLIENT WEALTH LLC

Philadelphia, PA 19103

Some features on this profile are disabled

CRD#: 5652103

Professional summary

Sean Patrick Fogarty, who also goes by Sean Patrick Fogarty, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Philadelphia, Pennsylvania.

Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Sean has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sean Patrick Fogarty

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.

Name of business: Uber; business is not investment related; business address is 7821 Bartram Ave, Philadelphia, PA; nature of business is rideshare services; my position is driver; I work as an independent contractor; my start date is 6/28/24; I will be working approx 80 hours/month in this business; I will devote no hours to this business during securities trading hours; my duties will be to pick up passengers and drive them to their destination.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Patrick Fogarty's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Sean Patrick Fogarty's CRS (Customer Relationship Summary).

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 27, 2023 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 1900 Market Street Suite 200, Philadelphia, PA 19103

RIA

CRD#: 164484

Philadelphia, PA

Current

March 27, 2023 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 336 Route 70 East 2nd Floor, Marlton, NJ 08053

RIA

CRD#: 164484

Marlton, NJ

Past

August 17, 2022 - February 28, 2023

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LANGHORNE, PA

Past

August 16, 2022 - February 28, 2023

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LANGHORNE, PA

Past

April 1, 2020 - May 6, 2022

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Marlton, NJ

Past

October 30, 2019 - May 6, 2022

PRUCO SECURITIES, LLC.

CRD#: 5685

Marlton, NJ

Past

March 16, 2016 - November 1, 2018

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PHILADELPHIA, PA

Past

April 24, 2009 - January 26, 2016

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PHILADELPHIA, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Pennsylvania
(3/27/2023)

IAR

Pennsylvania
(3/27/2023)

Texas
(3/14/2025)

IAR

Texas
(3/15/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/20/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/6/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/3/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/23/2009

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

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

1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017

Mailing Address

1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017

Phone number

(877) 703-9896

Established

Delaware since 07/13/2012

Firm type

Limited Liability Company

Fiscal year end

October

Firm Size

Large

# of Employees

662

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TD PRIVATE CLIENT WEALTH LLC MANAGED ACCOUNT PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

Direct owners and executive officers

Name	Position	CRD#
TD BANK, NATIONAL ASSOCIATION	OWNER
BEAM, JAMES HENRY JR.	PRESIDENT	4274924
CALDERON NAJERA, NAYRA	CCO	5040972
CHABOT, ALAN J	CEO	2617874
ORTIZ, JORGE LUIS	CFO & FINOP	2725922
SCHAUTZ, JOHN LOUIS III	COO	1430568
WILSON, KEVIN KEITH	FINOP	5437711

Regulatory assets under management

Total Number of Accounts	17,824
AUM (Assets Under Management)	$ 6,450,375,507

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/30/2025	Cover Page	Report
09/27/2024	Cover Page	Report
06/27/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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

Paul Mullen

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Horsham, PA

Boris Niko

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Feasterville, PA

Dustin Willing

KESTRA ADVISORY SERVICES, LLC

IAR

Wayne, PA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sean P. Fogarty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Patrick Fogarty's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Sean Patrick Fogarty's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

PNC WEALTH MANAGEMENT LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/20/2020

Series 63

Date: 5/6/2009

Series 7TO

Date: 8/3/2021

SIE

Date: 10/1/2018

Series 6

Date: 4/23/2009

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

TD PRIVATE CLIENT WEALTH LLC

TRUST BUT VERIFY

Similar Advisors