JS
Jeffrey J. Sundram
TD SECURITIES (USA) LLC
New York, NY 10017
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CRD#: 6191294
JS
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 and TD PRIME SERVICES 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
Are you a "fiduciary"?
No
Aliases
Jeffrey Sundram
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.
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Joseph Rodrigues Sundram'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
July 25, 2014 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017BD
CRD#: 18476
New York, NY
Current
June 26, 2019 - Present
TD PRIME SERVICES LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017BD
CRD#: 1914
New York, NY
Current
July 28, 2021 - Present
TD FINANCIAL PRODUCTS LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017BD
CRD#: 154838
New York, NY
Current
May 24, 2024 - Present
WESTMINSTER RESEARCH ASSOCIATES LLC
Office #1: 22 Vanderbilt Avenue 20 Floor, New York, NY 10017BD
CRD#: 14508
NEW YORK, NY
Current
June 21, 2024 - Present
TD ARRANGED SERVICES LLC
Office #1: 1 Vanderbilt Avenue 11 Floor, New York, NY 10017BD
CRD#: 122529
NEW YORK, NY
Past
June 21, 2024 - December 10, 2024
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
October 28, 2019 - December 4, 2024
TD PRIVATE CLIENT WEALTH LLC
BD
CRD#: 164484
NEW YORK, NY
Past
June 10, 2013 - July 16, 2014
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Illinois(7/28/2021)
RR
New York(7/25/2014)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
TA
TD ARRANGED SERVICES LLC
ATM EXECUTION LLC | TD ARRANGED SERVICES LLC | LABRANCHE STRUCTURED PRODUCTS LLC | LABRANCHE CAPITAL, LLC | COWEN ELECTRONIC | COWEN CAPITAL LLC
CRD#: 122529 / SEC#: , 8-65509
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1 Vanderbilt Avenue 11 Floor, New York, NY 10017
Mailing Address
1 Vanderbilt Avenue 11 Floor, New York, NY 10017
Phone number
(212) 827-7000
Established
New York since 02/12/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COWEN STRUCTURED HOLDINGS INC. | DIRECT PARENT | |
| BOWEN-FARSEWICZ, MELISSA | FINOP AND PRINCIPAL FINANCIAL OFFICER | 6022667 |
| CHARNEY, DANIEL S | CHIEF EXECUTIVE OFFICER | 2158255 |
| HOLMES, JOHN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1281617 |
| SUNDRAM, JEFFREY JOSEPH RODRIGUES | CHIEF COMPLIANCE OFFICER | 6191294 |
Disclosures
| Regulatory Event | 13 |
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.
