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AH

Ayrton P. Haddad

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CRD#: 6125741
AH

Professional summary

Ayrton Pierce Haddad was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ayrton is a previously registered financial professional and started their career in finance in 2012. Prior to being barred, Ayrton had worked at 5 firms, which includes TD AMERITRADE INC., HARRISDIRECT LLC, E*TRADE SECURITIES LLC, FIDELITY BROKERAGE SERVICES LLC, JOHN THOMAS FINANCIAL.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ayrton Pierce

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)

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

October 25, 2016 - November 2, 2016

TD AMERITRADE, INC.

BD
CRD#: 7870
NAPLES, FL
Past

October 14, 2015 - September 21, 2016

HARRISDIRECT LLC

RIA
CRD#: 42159
Tampa, FL
Past

September 21, 2015 - September 21, 2016

E*TRADE SECURITIES LLC

BD
CRD#: 29106
TAMPA, FL
Past

July 30, 2013 - July 31, 2015

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
ROSLYN, NY
Past

October 26, 2012 - June 5, 2013

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/8/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/23/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/2/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/25/2012
General Securities Representative Examination

Current Firm

TD AMERITRADE, INC.
TD AMERITRADE, INC.
TD AMERITRADE, INC. | WATERHOUSE SECURITIES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC.

CRD#: 7870 / SEC#: 801-60469, 8-23395

BD
Terminated by SEC on 09/17/2024
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Contact information

Main Address
200 South 108th Avenue, Omaha, NE 68154
Mailing Address
Phone number
(800) 669-3900
Established
New York since 09/29/1978
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
5,840

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
TD AMERITRADE ONLINE HOLDINGS LLC.OWNER
KONOP, LYNN MARIECHIEF COMPLIANCE OFFICER - BD1216310
KOSTULIAS, JAMES ROBERTPRESIDENT3091009
STARR, JEFFREY HAROLDMANAGING DIRECTOR, OPERATIONS4700461
THOMPSON, AARON MARKCHIEF FINANCIAL OFFICER/FINOP6483170

Disclosures

Regulatory Event83
Civil Event1
Arbitration144

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.

Company Information

TD AMERITRADE, INC.

TD AMERITRADE, INC.

CRD#: 7870

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