John Sachariah
Professional summary
John Sachariah, who also goes by John Sachariah, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in New City, New York.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. John has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Sachariah's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Sachariah's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 13, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 275 South Main Street, New City, NY 10956April 13, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1100 Lake Street 3rd Floor, Ramsey, NJ 07446February 21, 2018 - April 3, 2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 16, 2018 - April 3, 2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 13, 2011 - December 26, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 2011 - December 26, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 18, 2011 - October 31, 2011
DAVID LERNER ASSOCIATES, INC.
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/13/2023)
(4/13/2023)
(4/13/2023)
(4/14/2023)
(4/13/2023)
(4/13/2023)
(4/13/2023)
(4/13/2023)
(4/13/2023)
(4/13/2023)
Exams
FINRA
Current Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
