AA
Alaa Ali
TD PRIVATE CLIENT WEALTH LLC
Boca Raton, FL 33431
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CRD#: 6694793
AA
Professional summary
Alaa Ali is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Boca Raton, Florida.
Alaa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Alaa has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Alaa Ali's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alaa Ali'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
November 3, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 2301 North Federal Highway, Boca Raton, FL 33431RIA
BD
CRD#: 164484
Boca Raton, FL
Current
November 2, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 3450 Clark Road, Sarasota, FL 34231RIA
BD
CRD#: 164484
Sarasota, FL
Past
January 31, 2022 - October 19, 2023
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
LAKE WORTH, FL
Past
January 26, 2022 - October 19, 2023
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
LAKE WORTH, FL
Past
June 21, 2021 - January 18, 2022
STATETRUST INVESTMENTS INC.
BD
CRD#: 104651
BOCA RATON, FL
Past
November 8, 2016 - June 22, 2021
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
BOCA RATON, 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(11/2/2023)
IAR
Florida(11/3/2023)
RR
New Hampshire(4/1/2024)
IAR
New Hampshire(4/3/2024)
RR
New York(1/8/2024)
IAR
New York(1/8/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/25/2021
General Securities Representative ExaminationGeneral 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)
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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#: 164484Boca Raton, FL 33431TRUST BUT VERIFY
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