Jeffrey J. Sundram
Professional summary
Jeffrey Joseph Rodrigues Sundram, who also goes by Jeffrey Sundram, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2013. Jeffrey has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Joseph Rodrigues Sundram's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 25, 2014 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017June 21, 2024 - December 10, 2024
COWEN AND COMPANY
June 21, 2024 - December 5, 2025
TD ARRANGED SERVICES LLC
May 24, 2024 - December 5, 2025
WESTMINSTER RESEARCH ASSOCIATES LLC
July 28, 2021 - December 5, 2025
TD FINANCIAL PRODUCTS LLC
October 28, 2019 - December 4, 2024
TD PRIVATE CLIENT WEALTH LLC
June 26, 2019 - December 5, 2025
TD PRIME SERVICES LLC
June 10, 2013 - July 16, 2014
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/25/2014)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationBOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
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 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
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.
