Roodmy Cesar

TD PRIVATE CLIENT WEALTH | Financial Advisor

East Northport, NY 11731

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CRD#: 6092461

Professional summary

Roodmy Cesar is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in East Northport, New York.

Roodmy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Roodmy has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

Aliases

None

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) - RIA

Click below to view Roodmy Cesar's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Roodmy Cesar's CRS (Customer Relationship Summary).

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

September 15, 2026 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 517 Larkfield Road , East Northport, NY 11731

RIA

CRD#: 164484

East Northport, NY

Current

September 14, 2026 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 324 South Service Road, Melville, NY 11747

RIA

CRD#: 164484

Melville, NY

Past

June 21, 2024 - September 7, 2026

EDWARD JONES

RIA

CRD#: 250

ST JAMES, NY

Past

June 21, 2024 - September 7, 2026

EDWARD JONES

CRD#: 250

ST JAMES, NY

Past

January 8, 2020 - June 21, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MELVILLE, NY

Past

November 15, 2019 - June 21, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MELVILLE, NY

Past

November 21, 2017 - October 23, 2019

EQUITY SERVICES, INC.

CRD#: 265

HAUPPAUGE, NY

Past

August 5, 2013 - November 28, 2017

NYLIFE SECURITIES LLC

CRD#: 5167

MELVILLE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

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

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(9/18/2026)

IAR

California
(9/21/2026)

Connecticut
(9/18/2026)

IAR

Connecticut
(9/22/2026)

Florida
(9/21/2026)

IAR

Florida
(9/21/2026)

IAR

New York
(9/15/2026)

New York
(9/16/2026)

North Carolina
(9/21/2026)

IAR

North Carolina
(9/21/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

What does exam status mean?

State Security Law Exam

IAR

Series 66

Status Unavailable

Passed: 1/6/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 5/24/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Status Unavailable

Passed: 12/5/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Status Unavailable

Passed: 8/3/2013

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

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

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Contact information

Main Address

1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017

Mailing Address

1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017

Phone number

(877) 703-9896

Established

Delaware since 07/13/2012

Firm type

Limited Liability Company

Fiscal year end

October

Firm Size

Large

# of Employees

671

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TD PRIVATE CLIENT WEALTH LLC MANAGED ACCOUNT PROGRAM BROCHURE JUNE 12 2026 (6/12/2026)

TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2026 (1/29/2026)

Direct owners and executive officers

Name	Position	CRD#
TD BANK, NATIONAL ASSOCIATION	OWNER
BEGUN, ROBERT	PRESIDENT & DIRECTOR	4436053
CALDERON NAJERA, NAYRA	CCO	5040972
CARROLL, ANNA	COO & DIRECTOR	4487506
CHABOT, ALAN J	CEO & DIRECTOR	2617874
SNYDER, JONATHAN	CFO AND FINANCIAL AND OPERATIONS PRINCIPAL	6514215

Regulatory assets under management

Total Number of Accounts	25,698
AUM (Assets Under Management)	$ 8,574,585,303

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/30/2025	Cover Page	Report
09/27/2024	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Roodmy Cesar

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roodmy Cesar's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Roodmy Cesar's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

EDWARD JONES

EDWARD JONES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EQUITY SERVICES, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Passed: 1/6/2020

Series 63

Passed: 5/24/2014

Series 7TO

Passed: 12/5/2019

SIE

Passed: 10/1/2018

Series 6

Passed: 8/3/2013

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

TD PRIVATE CLIENT WEALTH LLC

TRUST BUT VERIFY

Contact information

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