CP
Collin Piercy
TD FINANCIAL PRODUCTS LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 6223305
CP
Professional summary
Collin Piercy, who also goes by Collin T Piercy, Collin Thomas Piercy, is a registered financial professional currently at TD FINANCIAL PRODUCTS LLC located in Chicago, Illinois.
Collin is registered as a RR (Registered Representative) and started their career in finance in 2013. Collin has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Collin T Piercy | Collin Thomas Piercy
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 Collin Piercy'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
October 17, 2019 - Present
TD FINANCIAL PRODUCTS LLC
Office #1: 71 S. Wacker Drive Suite 550, Chicago, IL 60606BD
CRD#: 154838
Chicago, IL
Past
May 10, 2019 - October 16, 2019
BOFA SECURITIES, INC.
BD
CRD#: 283942
CHICAGO, IL
Past
September 5, 2013 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHICAGO, IL
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
Alabama(10/17/2019)
RR
Alaska(1/7/2020)
RR
Arizona(10/17/2019)
RR
Arkansas(1/7/2020)
RR
California(10/17/2019)
RR
Colorado(10/17/2019)
RR
Connecticut(10/17/2019)
RR
Delaware(10/17/2019)
RR
District of Columbia(1/7/2020)
RR
Florida(10/17/2019)
RR
Georgia(10/17/2019)
RR
Hawaii(10/17/2019)
RR
Idaho(1/7/2020)
RR
Illinois(10/17/2019)
RR
Indiana(10/17/2019)
RR
Iowa(1/7/2020)
RR
Kansas(10/17/2019)
RR
Kentucky(1/7/2020)
RR
Louisiana(1/7/2020)
RR
Maine(1/7/2020)
RR
Maryland(10/17/2019)
RR
Massachusetts(10/17/2019)
RR
Michigan(10/17/2019)
RR
Minnesota(10/17/2019)
RR
Mississippi(1/7/2020)
RR
Missouri(10/17/2019)
RR
Montana(1/7/2020)
RR
Nebraska(1/7/2020)
RR
Nevada(10/17/2019)
RR
New Hampshire(10/17/2019)
RR
New Jersey(10/17/2019)
RR
New Mexico(10/17/2019)
RR
New York(10/17/2019)
RR
North Carolina(10/17/2019)
RR
North Dakota(1/7/2020)
RR
Ohio(10/17/2019)
RR
Oklahoma(10/17/2019)
RR
Oregon(10/17/2019)
RR
Pennsylvania(10/17/2019)
RR
Rhode Island(10/17/2019)
RR
South Carolina(1/7/2020)
RR
South Dakota(1/7/2020)
RR
Texas(10/17/2019)
RR
Utah(10/17/2019)
RR
Vermont(1/7/2020)
RR
Virginia(10/17/2019)
RR
Washington(10/17/2019)
RR
West Virginia(1/7/2020)
RR
Wisconsin(10/17/2019)
RR
Wyoming(1/7/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TD FINANCIAL PRODUCTS LLC
HEADLANDS GLOBAL MARKETS, LLC | TD SECURITIES AUTOMATED TRADING LLC | TD FINANCIAL PRODUCTS LLC | HEADLANDS TECH GLOBAL MARKETS, LLC | HEADLANDS TECH GLOBAL MARKETS
CRD#: 154838 / SEC#: , 8-68677
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
71 S. Wacker Drive Suite 550, Chicago, IL 60606
Mailing Address
71 S. Wacker Drive Suite 550, Chicago, IL 60606
Phone number
(312) 601-8643
Established
Delaware since 07/21/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.) INC. | OWNER | |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| MANNION, MARTIN | CO-HEAD OF ELECTRONIC TRADING | 4830837 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| SCHRAGER, MATTHEW | CO-HEAD OF ELECTRONIC TRADING | 6488305 |
| SUNDRAM, JEFFREY JOSEPH RODRIGUES | CHIEF COMPLIANCE OFFICER | 6191294 |
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.
