Garrett Pless
Professional Summary
Garrett Pless is a registered financial advisor currently at TD SECURITIES (USA) LLC located in Lake Mary, Florida. Garrett is registered as a RR (Registered Representative) and started their career in finance in 2012. Garrett has worked at 4 firms and has passed the SIE and Series 99 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
TRANSAMERICA FINANCIAL ADVISORS, LLC
WELLS FARGO SECURITIES, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RBC CAPITAL MARKETS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
TRANSAMERICA FINANCIAL ADVISORS, LLC
WELLS FARGO SECURITIES, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RBC CAPITAL MARKETS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
TRANSAMERICA FINANCIAL ADVISORS, LLC
WELLS FARGO SECURITIES, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RBC CAPITAL MARKETS, LLC
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.
Similar Advisors
TRANSAMERICA FINANCIAL ADVISORS, LLC
WELLS FARGO SECURITIES, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RBC CAPITAL MARKETS, LLC
Years of Experience
14 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
TRANSAMERICA FINANCIAL ADVISORS, LLC
WELLS FARGO SECURITIES, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RBC CAPITAL MARKETS, LLC
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
TRANSAMERICA FINANCIAL ADVISORS, LLC
WELLS FARGO SECURITIES, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RBC CAPITAL MARKETS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
TRANSAMERICA FINANCIAL ADVISORS, LLC
WELLS FARGO SECURITIES, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
TRANSAMERICA FINANCIAL ADVISORS, LLC
WELLS FARGO SECURITIES, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RBC CAPITAL MARKETS, LLC
CRS (Client Relationship Summary) - BD
Click below to view Garrett Pless's CRS (Customer Relationship Summary).
Similar Advisors
TRANSAMERICA FINANCIAL ADVISORS, LLC
WELLS FARGO SECURITIES, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RBC CAPITAL MARKETS, LLC