MP
Massimo Paone
TD PRIVATE CLIENT WEALTH LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 6113706
MP
Professional summary
Massimo Paone, who also goes by Massimo Paone, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in New York, New York.
Massimo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Massimo has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Massimo Paone
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.
Assistant Varsity Football Coach at St. Luke's School - no profit organization providing education 5gr to 12gr and located at 377 N Wilton Rd, New Canaan CT 06840 Coaching activity during football season September through November totaling 10 hours during weekdays exclusively after trading hours, plus game time on Saturdays.
CRS (Client Relationship Summary) - RIA
Click below to view Massimo Paone's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Massimo Paone'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®
NoneExperience
Current
April 26, 2022 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1 Vanderbilt Avenue 23rd Floor, New York, NY 10017RIA
BD
CRD#: 164484
New York, NY
Current
April 27, 2022 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1 Vanderbilt Avenue 23rd Floor, New York, NY 10017RIA
BD
CRD#: 164484
New York, NY
Past
February 28, 2022 - April 20, 2022
POPULIST CAPITAL LLC
RIA
CRD#: 315166
NEW CANAAN, CT
Past
April 23, 2019 - May 8, 2020
REGULUS FINANCIAL GROUP, LLC
BD
CRD#: 150631
New Canaan, CT
Past
April 22, 2019 - February 25, 2022
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
New Canaan, CT
Past
June 1, 2017 - October 25, 2018
ALTRIUS CAPITAL MANAGEMENT, INC.
RIA
CRD#: 121529
NEW BERN, NC
Past
April 9, 2014 - June 15, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DURHAM, NC
Past
April 9, 2014 - June 15, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DURHAM, NC
Past
November 15, 2012 - February 13, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW HAVEN, CT
Past
October 17, 2012 - February 13, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW HAVEN, CT
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".
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
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.RR
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
RR
Arizona(7/25/2025)
IAR
Arizona(7/25/2025)
RR
California(9/23/2022)
IAR
California(9/26/2022)
RR
Colorado(1/9/2023)
IAR
Colorado(1/9/2023)
IAR
Connecticut(4/26/2022)
RR
Connecticut(4/27/2022)
RR
Delaware(2/5/2025)
IAR
Delaware(2/10/2025)
RR
Florida(8/31/2022)
IAR
Florida(9/1/2022)
RR
Illinois(1/14/2023)
IAR
Illinois(1/23/2023)
RR
Kentucky(1/20/2023)
IAR
Kentucky(1/24/2023)
RR
Maryland(1/20/2023)
IAR
Maryland(1/20/2023)
RR
Massachusetts(1/8/2025)
IAR
Massachusetts(1/17/2025)
RR
Michigan(10/13/2022)
IAR
Michigan(10/17/2022)
RR
Minnesota(10/13/2022)
IAR
Minnesota(10/13/2022)
RR
Missouri(1/20/2023)
IAR
Missouri(1/20/2023)
RR
New Hampshire(10/13/2022)
IAR
New Hampshire(10/20/2022)
RR
New Jersey(4/27/2022)
IAR
New Jersey(4/27/2022)
RR
New Mexico(2/5/2025)
IAR
New Mexico(2/5/2025)
RR
New York(4/27/2022)
IAR
New York(4/27/2022)
RR
North Carolina(5/5/2022)
IAR
North Carolina(5/16/2022)
RR
Oregon(1/9/2023)
IAR
Oregon(1/9/2023)
RR
Pennsylvania(10/13/2022)
IAR
Pennsylvania(10/17/2022)
RR
South Carolina(5/5/2022)
IAR
South Carolina(5/5/2022)
RR
Texas(10/13/2022)
IAR
Texas(10/14/2022)
RR
Virginia(10/13/2022)
IAR
Virginia(10/13/2022)
RR
Washington(5/1/2023)
IAR
Washington(5/1/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
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
662
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
