Garrett Pless

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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Years of Experience

14 years registered in the securities industry

Current & Past Employments

Current

TD SECURITIES (USA) LLCCurrent·CRD# 18476

BD

400 Colonial Center Parkway Suite 300, Lake Mary, FL 32746

December 10, 2024 - Present

Past

COWEN AND COMPANYPast·CRD# 7616

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Lake Mary, FL

April 27, 2020 - December 10, 2024

COWEN EXECUTION SERVICES LLCPast·CRD# 35693

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Lake Mary, FL

April 1, 2015 - July 6, 2020

G-TRADE SERVICES LLCPast·CRD# 140314

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New York, NY

September 18, 2012 - April 1, 2015

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Current Firm

TS

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

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

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

FINRA 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

22

Criminal

1

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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.