Roman G. Schweizer

TD SECURITIES (USA) LLC

Washington, DC 20007

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CRD#: 5905422

Professional summary

Roman George Schweizer, who also goes by Roman George Schweizer III, is a registered financial professional currently at TD SECURITIES (USA) LLC located in Washington, District Of Columbia.

Roman is registered as a RR (Registered Representative) and started their career in finance in 2011. Roman has worked at 4 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Roman George Schweizer Iii

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roman George Schweizer's 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 7, 2024 - Present

TD SECURITIES (USA) LLC

Office #1: 3000 K Street Nw Washington Harbour, Washington, DC 20007

CRD#: 18476

Washington, DC

Past

August 9, 2016 - April 11, 2024

COWEN AND COMPANY

CRD#: 7616

WASHINGTON, DC

Past

November 18, 2011 - August 5, 2016

GUGGENHEIM SECURITIES, LLC

CRD#: 40638

WASHINGTON, DC

Past

April 22, 2011 - December 1, 2011

MF GLOBAL INC.

CRD#: 6731

WASHINGTON, DC

State Registrations and Notice Filings

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

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

District of Columbia
(3/7/2024)

New York
(3/7/2024)

Virginia
(10/31/2024)

Exams

State Security Law Exam

Series 63

Date: 5/13/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 11/16/2015

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 8/4/2015

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 4/21/2011

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

TD SECURITIES (USA) LLC

AMERICAN GOVERNMENT SECURITIES, INC. | TORONTO DOMINION SECURITIES CORP. | TORONTO DOMINION SECURITIES (USA) INC. | TD SECURITIES (USA) LLC | TD SECURITIES (USA) INC.

CRD#: 18476 / SEC#: , 8-36747

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

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Contact information

Main Address

One Vanderbilt Avenue, New York, NY 10017

Mailing Address

One Vanderbilt Avenue, New York, NY 10017

Phone number

(212) 827-7000

Established

Delaware since 11/01/2004

Firm type

Limited Liability Company

Fiscal year end

October

Firm Size

Large

# of Employees

FINRA licenses (52 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
JENKINS, CHRISTINE J	FINANCIAL & OPERATIONS PRINCIPAL	4911933
ORTIZ, JORGE LUIS	CHIEF FINANCIAL OFFICER	2725922
PETROU, CHRISTINA A	CHIEF OPERATING OFFICER	4007468

Disclosures

Regulatory Event	20
Criminal	1

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.

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Advisor Monitoring

Firm Stability Insights

Roman G. Schweizer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roman George Schweizer's CRS (Customer Relationship Summary).

Certified licenses

Experience

COWEN AND COMPANY

GUGGENHEIM SECURITIES, LLC

MF GLOBAL INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/13/2016

SIE

Date: 10/1/2018

Series 87

Date: 11/16/2015

Series 86

Date: 8/4/2015

Series 7

Date: 4/21/2011

FINRA

Nasdaq Stock Market

Current Firm

TD SECURITIES (USA) LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TD SECURITIES (USA) LLC

TRUST BUT VERIFY

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