Vijay Rege
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.
Vijay Rege, who also goes by VIjay Arun Rege, was a registered financial professional .
Vijay is a previously registered financial professional and started their career in finance in 2011. Vijay had worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 56, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2024 - November 3, 2025
TD PRIVATE CLIENT WEALTH LLC
September 23, 2024 - November 3, 2025
TD PRIVATE CLIENT WEALTH LLC
February 25, 2015 - May 17, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 23, 2015 - May 17, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 1, 2013 - January 6, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 29, 2012 - January 6, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 29, 2011 - May 30, 2012
WTS PROPRIETARY TRADING GROUP LLC
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
Exams
Series 56
Date: 3/8/2012
Proprietary Trader Qualification ExaminationCurrent 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.
