Peony Chan
Professional summary
Peony Chan is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in New York, New York.
Peony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Peony has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Peony Chan's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 10, 2022 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1995 Broadway, New York, NY 10023-5882October 29, 2019 - February 12, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 3, 2018 - October 30, 2019
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/3/2023)
(10/20/2023)
(5/22/2025)
(1/3/2023)
(8/10/2022)
(1/3/2023)
Exams
Current Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
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.
