UJ
Umair Jawaid
TD PRIVATE CLIENT WEALTH LLC
Coconut Creek, FL 33073
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CRD#: 6857405
UJ
Professional summary
Umair Jawaid is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Coconut Creek, Florida.
Umair is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Umair has worked at 5 firms and has passed the Series 66, SIE and Series 7 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.
I*1113258 For profit or not for profit: Entity For Profit Name of outside business organization: ON DEMAND REHAB LLC Investment related: N Address of business: tamarac, Florida Nature of business: ["Limited Liability Company"] Position, title, association: ["Owner"], Start date of relationship: 5/1/2023 Number of hours devoted: 0 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: I am part owner, but my wife is a physical therapist and might take on patients in the future
CRS (Client Relationship Summary) - RIA
Click below to view Umair Jawaid's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Umair Jawaid'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
September 27, 2024 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 6700 N. State Rd 7, Coconut Creek, FL 33073RIA
BD
CRD#: 164484
Coconut Creek, FL
Current
September 25, 2024 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 3450 Clark Road, Sarasota, FL 34231RIA
BD
CRD#: 164484
Sarasota, FL
Past
December 6, 2022 - May 20, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
FORT LAUDERDALE, FL
Past
December 1, 2022 - May 20, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
FORT LAUDERDALE, FL
Past
September 16, 2021 - September 10, 2022
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
BOCA RATON, FL
Past
August 19, 2021 - September 10, 2022
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
BOCA RATON, FL
Past
January 30, 2019 - May 8, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
PEMBROKE PINES, FL
Past
November 30, 2018 - May 8, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
PEMBROKE PINES, FL
Past
August 20, 2018 - November 30, 2018
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
PEMBROKE PINES, 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(9/25/2024)
IAR
Florida(9/27/2024)
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#: 164484Coconut Creek, FL 33073TRUST BUT VERIFY
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