AT
Alicia M. Thomas
TD PRIVATE CLIENT WEALTH LLC
Keene, NH 03431
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CRD#: 6877308
AT
Professional summary
Alicia Marie Thomas, who also goes by Alicia Marie Thomas, Alicia Thomas, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Keene, New Hampshire.
Alicia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Alicia has worked at 1 firm and has passed the Series 65 and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alicia Marie Thomas | Alicia Thomas
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 name of the other business; Donovan's -whether the business is investment-related; No, it's not investment related. -the address of the other business; 65 Rockingham Rd Bellows Falls, VT 05101 -the nature of the other business; Restaurant/Pub - serving food and beverages -your position; Server -title, or relationship with the other business; Server/Employee -the start date of your relationship; -the approximate number of hours/month you devote to the other business; -the number of hours you devote to the other business during securities trading hours; -and briefly describe your duties relating to the other business;
CRS (Client Relationship Summary) - RIA
Click below to view Alicia Marie Thomas'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
January 10, 2022 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 194 West Street, Keene, NH 03431RIA
BD
CRD#: 164484
Keene, NH
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.Highlighted states indicate IAR registrations
IAR
Massachusetts(3/7/2023)
IAR
New Hampshire(1/10/2022)
IAR
New Jersey(9/18/2024)
IAR
Vermont(3/4/2022)
IAR
Virginia(9/18/2024)
Exams
State Security Law Exam
General Industry/Product Exam
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.
