Lalit Kumar

TD SECURITIES (USA) LLC

New York, NY 10017

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CRD#: 6587683

Professional summary

Lalit Kumar is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.

Lalit is registered as a RR (Registered Representative) and started their career in finance in 2016. Lalit has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Lalit Kumar'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

July 22, 2025 - Present

TD SECURITIES (USA) LLC

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

CRD#: 18476

New York, NY

Past

September 28, 2021 - November 15, 2023

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

July 12, 2021 - September 1, 2021

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

Past

July 9, 2021 - September 1, 2021

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

Scottsdale, AZ

Past

December 12, 2016 - March 2, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HUNT VALLEY, MD

Past

January 14, 2016 - March 2, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HUNT VALLEY, MD

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
(7/22/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 12/9/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/5/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/14/2016

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/1/2017

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/10/2017

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

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

Lalit Kumar

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lalit Kumar's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY & CO. LLC

VANGUARD MARKETING CORPORATION

VANGUARD ADVISERS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 12/9/2016

Series 63

Date: 2/5/2016

SIE

Date: 10/1/2018

Series 7

Date: 1/14/2016

Series 10

Date: 7/1/2017

Series 9

Date: 2/10/2017

FINRA

Nasdaq Stock Market

New York Stock Exchange

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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