Nicholas J. Baldwin
Professional summary
Nicholas James Baldwin is a registered financial professional currently at TD SECURITIES (USA) LLC located in Lake Mary, Florida.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2021. Nicholas has worked at 3 firms and has passed the Series 99TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas James Baldwin's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 10, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: 400 Colonial Center Parkway Suite 300, Lake Mary, FL 32746August 23, 2023 - December 10, 2024
COWEN AND COMPANY
September 1, 2021 - August 18, 2023
PERSHING LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 9/1/2021
Operations Professional ExaminationFINRA
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 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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