SG
Stephen Guo
TD FINANCIAL PRODUCTS LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 6512629
SG
Professional summary
Stephen Guo, who also goes by Stephen Guo, is a registered financial professional currently at TD FINANCIAL PRODUCTS LLC located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2016. Stephen has worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 52 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stephen Guo
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 Stephen Guo'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
April 21, 2021 - Present
TD FINANCIAL PRODUCTS LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017BD
CRD#: 154838
New York, NY
Past
August 17, 2016 - April 20, 2021
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
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(4/21/2021)
RR
Alaska(4/21/2021)
RR
Arizona(4/21/2021)
RR
Arkansas(4/21/2021)
RR
California(4/21/2021)
RR
Colorado(4/21/2021)
RR
Connecticut(4/21/2021)
RR
Delaware(4/21/2021)
RR
District of Columbia(4/21/2021)
RR
Florida(4/21/2021)
RR
Georgia(4/21/2021)
RR
Hawaii(4/21/2021)
RR
Idaho(4/21/2021)
RR
Illinois(4/21/2021)
RR
Indiana(4/21/2021)
RR
Iowa(4/21/2021)
RR
Kansas(4/21/2021)
RR
Kentucky(4/21/2021)
RR
Louisiana(4/21/2021)
RR
Maine(4/21/2021)
RR
Maryland(4/21/2021)
RR
Massachusetts(4/21/2021)
RR
Michigan(4/21/2021)
RR
Minnesota(4/21/2021)
RR
Mississippi(4/21/2021)
RR
Missouri(4/21/2021)
RR
Montana(4/21/2021)
RR
Nebraska(4/21/2021)
RR
Nevada(4/21/2021)
RR
New Hampshire(4/21/2021)
RR
New Jersey(4/21/2021)
RR
New Mexico(4/21/2021)
RR
New York(4/21/2021)
RR
North Carolina(4/21/2021)
RR
North Dakota(4/21/2021)
RR
Ohio(4/21/2021)
RR
Oklahoma(4/21/2021)
RR
Oregon(4/21/2021)
RR
Pennsylvania(4/21/2021)
RR
Rhode Island(4/21/2021)
RR
South Carolina(4/21/2021)
RR
South Dakota(4/21/2021)
RR
Texas(4/21/2021)
RR
Utah(4/21/2021)
RR
Vermont(4/21/2021)
RR
Virginia(4/21/2021)
RR
Washington(4/21/2021)
RR
West Virginia(4/21/2021)
RR
Wisconsin(4/21/2021)
RR
Wyoming(4/21/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 9/10/2019
Securities Trader ExamGeneral Industry/Product 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)
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
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.
