CH
Christopher S. Hargis
TD PRIVATE CLIENT WEALTH LLC
Jacksonville, FL 32246
Some features on this profile are disabled
CRD#: 6394998
CH
Professional summary
Christopher Stephen Hargis, who also goes by Chris Hargis, Christopher Stephen Hargis, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Jacksonville, Florida.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Christopher has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Hargis | Christopher Stephen Hargis
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.
Name of Outside Business:Rental Property's; Investment Related:No; Address of Outside Business:Alachua, FL; Nature of Outside Business:Rental Property; Position:Owner; Start Date:2/2/2013; Hours per month: 0-10; Hours per month during securities trading hours: No; Description of Duties: Collect Rent, Communicate with Tenants to keep properties up to par.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Stephen Hargis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Stephen Hargis'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
January 13, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 9715 Gate Parkway North, Jacksonville, FL 32246RIA
BD
CRD#: 164484
Jacksonville, FL
Current
January 12, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 9715 Gate Parkway North, Jacksonville, FL 32246RIA
BD
CRD#: 164484
Jacksonville, FL
Past
January 26, 2022 - February 24, 2022
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Jacksonville, FL
Past
July 7, 2015 - February 24, 2022
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Jacksonville, FL
Past
July 2, 2015 - February 24, 2022
TD AMERITRADE, INC.
RIA
CRD#: 7870
Jacksonville, FL
Past
June 4, 2015 - February 24, 2022
TD AMERITRADE, INC.
BD
CRD#: 7870
Jacksonville, FL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Florida(1/12/2023)
IAR
Florida(1/13/2023)
RR
Michigan(9/9/2025)
IAR
Michigan(9/11/2025)
RR
New Jersey(11/14/2024)
IAR
New Jersey(11/14/2024)
RR
New York(11/14/2024)
IAR
New York(11/14/2024)
RR
Pennsylvania(11/14/2024)
IAR
Pennsylvania(11/15/2024)
RR
Tennessee(2/19/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017
Mailing Address
1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017
Phone number
(877) 703-9896
Established
Delaware since 07/13/2012
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
662
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
Company Information
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484Jacksonville, FL 32246TRUST BUT VERIFY
Monitor Christopher Hargis
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
