Joseph Fasolo

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CRD#: 6116123

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph Fasolo, who also goes by Joe Fasolo, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2012. Joseph had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joe Fasolo

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.

For profit or not for profit: For-Profit Organization Name of outside business organization: FOJO LLC Investment related: N Address of business: 52 Lacey Ave. Gillette NJ 07933 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 1/22/2021 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: sends products to amazon

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 5, 2022 - September 1, 2023

TD PRIVATE CLIENT WEALTH LLC

RIA

CRD#: 164484

Chatham, NJ

Past

April 4, 2022 - September 1, 2023

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484

Bernardsville, NJ

Past

May 27, 2021 - March 26, 2022

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

MORRISTOWN, NJ

Past

May 27, 2021 - March 26, 2022

J.P. MORGAN SECURITIES LLC

CRD#: 79

MORRISTOWN, NJ

Past

February 19, 2021 - May 7, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

Bridgewater, NJ

Past

August 31, 2020 - May 7, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 15, 2017 - June 24, 2020

J.P. MORGAN SECURITIES LLC

CRD#: 79

SUMMIT, NJ

Past

August 5, 2015 - March 10, 2016

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

July 6, 2015 - July 20, 2015

WINDSOR STREET CAPITAL, LP

CRD#: 34171

NEW YORK, NY

Past

February 10, 2014 - October 31, 2014

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117

NEW YORK, NY

Past

September 28, 2012 - November 6, 2012

JOHN THOMAS FINANCIAL

CRD#: 40982

NEW YORK, 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/12/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/10/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/27/2012

General Securities Representative Examination

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

662

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 JANUARY 31 2025 (1/31/2025)

TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

Direct owners and executive officers

Name	Position	CRD#
TD BANK, NATIONAL ASSOCIATION	OWNER
BEAM, JAMES HENRY JR.	PRESIDENT	4274924
CALDERON NAJERA, NAYRA	CCO	5040972
CHABOT, ALAN J	CEO	2617874
ORTIZ, JORGE LUIS	CFO & FINOP	2725922
SCHAUTZ, JOHN LOUIS III	COO	1430568
WILSON, KEVIN KEITH	FINOP	5437711

Regulatory assets under management

Total Number of Accounts	17,824
AUM (Assets Under Management)	$ 6,450,375,507

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
06/27/2023	Cover Page	Report
12/21/2022	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.

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Firm Stability Insights

Joseph Fasolo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES LLC

AEGIS CAPITAL CORP.

WINDSOR STREET CAPITAL, LP

WTS PROPRIETARY TRADING GROUP LLC

JOHN THOMAS FINANCIAL

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/12/2021

Series 63

Date: 7/10/2015

SIE

Date: 10/1/2018

Series 7

Date: 9/27/2012

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

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