William J. Dunn
Professional summary
William Joseph Dunn III, who also goes by William Joseph Dunn III, William Joseph Dunn, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
William is registered as a RR (Registered Representative) and started their career in finance in 2018. William has worked at 5 firms and has passed the Series 7TO, SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Joseph Dunn III's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 20, 2025 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017March 10, 2021 - October 30, 2025
DAIWA CAPITAL MARKETS AMERICA INC.
July 9, 2019 - January 8, 2020
FLOW TRADERS U.S. LLC
July 9, 2019 - January 8, 2020
FLOW TRADERS U.S. INSTITUTIONAL TRADING LLC
March 15, 2018 - July 5, 2019
CANTOR FITZGERALD & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 11/7/2019
General Securities Representative ExaminationFINRA
Nasdaq Stock Market
New York Stock Exchange
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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