John C. Ledgewood

TD SECURITIES (USA) LLC

New York, NY 10017

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CRD#: 6101142

Professional summary

John Collins Ledgewood, who also goes by John C Ledgewood, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 2012. John has worked at 6 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John C Ledgewood

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 John Collins Ledgewood'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

December 19, 2023 - Present

TD SECURITIES (USA) LLC

Office #1: One Vanderbilt Avenue, New York, NY 10017

CRD#: 18476

New York, NY

Past

March 3, 2017 - November 30, 2023

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

Nashville, TN

Past

March 2, 2017 - March 30, 2022

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

March 2, 2017 - November 30, 2023

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 22, 2014 - March 6, 2015

INTL ADVISORY CONSULTANTS INC.

RIA

CRD#: 130888

FLORENCE, AL

Past

August 11, 2014 - March 6, 2015

STONEX SECURITIES INC.

CRD#: 18456

Florence, AL

Past

October 4, 2012 - January 15, 2013

EDWARD JONES

RIA

CRD#: 250

ST LOUIS, MO

Past

September 14, 2012 - January 15, 2013

EDWARD JONES

CRD#: 250

ST LOUIS, MO

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

New York
(12/19/2023)

Tennessee
(12/19/2023)

Exams

State Security Law Exam

IAR

Series 66

Date: 10/2/2012

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 12/19/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/13/2012

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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Firm Stability Insights

John C. Ledgewood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Collins Ledgewood's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS SECURITIES LLC

UBS FINANCIAL SERVICES INC.

INTL ADVISORY CONSULTANTS INC.

STONEX SECURITIES INC.

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 10/2/2012

Series 99TO

Date: 12/19/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/13/2012

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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