Nicole N. Baroni
Professional summary
Nicole Nella Baroni, who also goes by Nicole Baroni, is a registered financial professional currently at TD SECURITIES (USA) LLC .
Nicole is registered as a RR (Registered Representative) and started their career in finance in 2016. Nicole has worked at 1 firm and has passed the Series 63, SIE and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicole Nella Baroni's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 28, 2016 - Present
TD SECURITIES (USA) LLC
Office #1: 222 Bay Street 7th Floor, Toronto, Ontario, M5K1A2State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/22/2016)
Exams
Series 37
Date: 1/28/2016
Canada Module of the General Securities Registered Representative (With Options Questions)FINRA
Nasdaq Stock Market
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
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
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