Jeffrey A. Elford
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeffrey Allen Elford, who also goes by Jeffrey A Elford, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2010. Jeffrey had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2018 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 16, 2018 - January 11, 2021
TD AMERITRADE, INC.
July 13, 2018 - January 11, 2021
TD AMERITRADE, INC.
February 10, 2017 - May 16, 2018
SECURE ASSET MANAGEMENT, L.L.C.
February 22, 2016 - August 2, 2016
PLANMEMBER SECURITIES CORPORATION
February 18, 2016 - August 2, 2016
PLANMEMBER SECURITIES CORPORATION
May 6, 2011 - February 19, 2016
LEGEND ADVISORY, LLC
September 14, 2010 - February 19, 2016
LEGEND EQUITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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