Evan Stein
Professional Summary
Evan Stein, who also goes by Evan Lee Stein, is a registered financial advisor currently at TD FINANCIAL PRODUCTS LLC located in Chicago, Illinois. Evan is registered as a RR (Registered Representative) and started their career in finance in 2014. Evan has worked at 4 firms and has passed the Series 63, Series 52TO, Series 7TO, SIE, Series 7, Series 52 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
Evan Lee Stein
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Videos & Posts
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Contact Information
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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.
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Years of Experience
12 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
HEADLANDS GLOBAL MARKETS, LLC | TD SECURITIES AUTOMATED TRADING LLC | TD FINANCIAL PRODUCTS LLC | HEADLANDS TECH GLOBAL MARKETS, LLC | HEADLANDS TECH GLOBAL MARKETS
Contact Information
Main Address
71 S. Wacker Drive Suite 550, Chicago, IL 60606Mailing Address
71 S. Wacker Drive Suite 550, Chicago, IL 60606Phone Number
(312) 601-8643Established
Delaware since 07/21/2010Firm Type
Limited Liability CompanyFiscal Year End
OctoberFirm Size
SmallFINRA licenses (51 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. | OWNER | — |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| 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 |
| WILSON, KEVIN KEITH | FINANCIAL & OPERATIONS PRINCIPAL | 5437711 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Oct 2025About the Series 52TO examSeries 79 — Investment Banking Registered Representative Examination
Passed Aug 2014About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Evan Stein's CRS (Customer Relationship Summary).
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