Patrick Cassidy
Professional Summary
Patrick Cassidy, who also goes by Patrick Paul Cassidy, is a registered financial advisor currently at TD SECURITIES (USA) LLC located in Summit, New Jersey. Patrick is registered as a RR (Registered Representative) and started their career in finance in 2013. Patrick has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Patrick Paul Cassidy
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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SUMMIT PLACE FINANCIAL ADVISORS, LLC
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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Years of Experience
13 years in the financial services industry
Current & Past Employments
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SUMMIT PLACE FINANCIAL ADVISORS, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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Current Firm
AMERICAN GOVERNMENT SECURITIES, INC. | TORONTO DOMINION SECURITIES CORP. | TORONTO DOMINION SECURITIES (USA) INC. | TD SECURITIES (USA) LLC | TD SECURITIES (USA) INC.
Contact Information
Main Address
One Vanderbilt Avenue, New York, NY 10017Mailing Address
One Vanderbilt Avenue, New York, NY 10017Phone Number
(212) 827-7000Established
Delaware since 11/01/2004Firm Type
Limited Liability CompanyFiscal Year End
OctoberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US 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
22Criminal
1Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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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.
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SUMMIT PLACE FINANCIAL ADVISORS, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jun 2015SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Patrick Cassidy's CRS (Customer Relationship Summary).
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SUMMIT PLACE FINANCIAL ADVISORS, LLC
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