Thomas P. Frain

TD SECURITIES (USA) LLC

New York, NY 10017

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CRD#: 6374898

Professional summary

Thomas Patrick Frain, who also goes by Tommy Frain, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2014. Thomas has worked at 4 firms and has passed the Series 63, Series 50, SIE, Series 52, Series 7, Series 14, Series 54, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tommy Frain

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Patrick Frain'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®

None

Experience

Current

October 23, 2024 - Present

TD SECURITIES (USA) LLC

Office #1: One Vanderbilt Avenue, New York, NY 10017

CRD#: 18476

New York, NY

Past

April 14, 2021 - October 18, 2024

SIEBERT WILLIAMS SHANK & CO., LLC

CRD#: 42568

NEW YORK, NY

Past

October 7, 2015 - April 13, 2021

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

August 14, 2014 - September 24, 2015

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST PETERSBURG, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(10/23/2024)

Exams

State Security Law Exam

Series 63

Date: 12/28/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 50

Date: 5/31/2022

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 52

Date: 4/6/2016

Municipal Securities Representative Examination

General Industry/Product Exam

Series 7

Date: 8/14/2014

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 54

Date: 10/3/2022

Municipal Advisor Principal Qualification Examination

Principal/Supervisory Exam

Series 53

Date: 7/22/2016

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/25/2014

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

TD SECURITIES (USA) LLC

AMERICAN GOVERNMENT SECURITIES, INC. | TORONTO DOMINION SECURITIES CORP. | TORONTO DOMINION SECURITIES (USA) INC. | TD SECURITIES (USA) LLC | TD SECURITIES (USA) INC.

CRD#: 18476 / SEC#: , 8-36747

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

One Vanderbilt Avenue, New York, NY 10017

Mailing Address

One Vanderbilt Avenue, New York, NY 10017

Phone number

(212) 827-7000

Established

Delaware since 11/01/2004

Firm type

Limited Liability Company

Fiscal year end

October

Firm Size

Large

# of Employees

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

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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Advisor Monitoring

Firm Stability Insights

Thomas P. Frain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Patrick Frain's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIEBERT WILLIAMS SHANK & CO., LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/28/2015

Series 50

Date: 5/31/2022

SIE

Date: 10/1/2018

Series 52

Date: 4/6/2016

Series 7

Date: 8/14/2014

Series 14

Date: 1/2/2023

Series 54

Date: 10/3/2022

Series 53

Date: 7/22/2016

Series 24

Date: 9/25/2014

FINRA

Nasdaq Stock Market

Current Firm

TD SECURITIES (USA) LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TD SECURITIES (USA) LLC

TRUST BUT VERIFY

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