Cale Scott Garverick
Professional Summary
Cale Scott Garverick, who also goes by Cale Garverick, is a registered financial advisor currently at TD SECURITIES (USA) LLC located in Dallas, Texas. Cale is registered as a RR (Registered Representative) and started their career in finance in 2014. Cale has worked at 3 firms and has passed the Series 63, SIE and Series 79 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Cale Garverick
Similar Advisors
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Years of Experience
12 years in the financial services industry
Current & Past Employments
Similar Advisors
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current Firm
AMERICAN GOVERNMENT SECURITIES, INC. | TORONTO DOMINION SECURITIES CORP. | TORONTO DOMINION SECURITIES (USA) INC. | TD SECURITIES (USA) LLC | TD SECURITIES (USA) INC.
Contact Information
Main Address
One Vanderbilt Avenue, New York, NY 10017Mailing Address
One Vanderbilt Avenue, New York, NY 10017Phone Number
(212) 827-7000Established
Delaware since 11/01/2004Firm Type
Limited Liability CompanyFiscal Year End
OctoberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US 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
22Criminal
1Similar Advisors
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
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.
Similar Advisors
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
State Registrations and Notice Filings
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(3/28/2025)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(3/28/2025)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(3/28/2025)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
(7/9/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed May 2014About the Series 79 examSRO Registrations
Similar Advisors
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRS (Client Relationship Summary) - BD
Click below to view Cale Scott Garverick's CRS (Customer Relationship Summary).
Similar Advisors
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
