NH
Nicolas R. Hernandez
TD PRIVATE CLIENT WEALTH LLC
Coral Gables, FL 33134
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CRD#: 6818090
NH
Professional summary
Nicolas Richard Hernandez, who also goes by Nicolas Richard Hernandez, Nicolas Hernandez, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Coral Gables, Florida.
Nicolas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Nicolas has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicolas Richard Hernandez | Nicolas Hernandez
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.
Sabor Supplements LLC. I am the co-owner of a protein supplement brand, currently selling via online retail. The business is not investment related, address is 14461 SW 158th St Miami FL 33177. The business and my relationship with the business began in August of 2023. I devote approximately 5 hours a week to this, none of which occur during securities trading hours. My business partner is hands on, I am more of a passive owner.
CRS (Client Relationship Summary) - RIA
Click below to view Nicolas Richard Hernandez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nicolas Richard Hernandez'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 14, 2024 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 255 Alhambra Circle, Coral Gables, FL 33134RIA
BD
CRD#: 164484
Coral Gables, FL
Current
November 13, 2024 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 255 Alhambra Circle, Coral Gables, FL 33134RIA
BD
CRD#: 164484
Coral Gables, FL
Past
March 8, 2018 - September 1, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CORAL GABLES, FL
Past
October 9, 2017 - September 1, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CORAL GABLES, 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(11/13/2024)
IAR
Florida(11/14/2024)
RR
Maryland(4/21/2025)
IAR
Maryland(4/21/2025)
RR
Missouri(4/21/2025)
IAR
Missouri(4/22/2025)
RR
Nevada(8/19/2025)
IAR
Nevada(8/24/2025)
RR
New Jersey(8/1/2025)
IAR
New Jersey(8/4/2025)
RR
New York(7/29/2025)
IAR
New York(7/29/2025)
RR
North Carolina(4/21/2025)
IAR
North Carolina(4/21/2025)
Exams
State Security Law Exam
General 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#: 164484Coral Gables, FL 33134TRUST BUT VERIFY
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