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Sarah B. Smets
TD PRIVATE CLIENT WEALTH LLC
Portsmouth, NH 03801
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CRD#: 6983581
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Professional summary
Sarah Brooks Smets, who also goes by Sarah Brooks Gianninoto, Sarah Brooks Smets, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Portsmouth, New Hampshire.
Sarah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Sarah has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sarah Brooks Gianninoto | Sarah Brooks Smets
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.
Monat Globle Non investment related 3470 NW 82nd Ave, Suite 790, Miami, FL 33122 Network marketing hair care Field sales rep July 2022 Non active/0 hours per month, but receive passive income of about $100/month When I was active, I would educated potential customers on product benefits via social media or in-person small group events
CRS (Client Relationship Summary) - RIA
Click below to view Sarah Brooks Smets's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sarah Brooks Smets'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
December 2, 2022 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 333 State Street 2nd Floor, Portsmouth, NH 03801RIA
BD
CRD#: 164484
Portsmouth, NH
Current
December 2, 2022 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 333 State Street 2nd Floor, Portsmouth, NH 03801RIA
BD
CRD#: 164484
Portsmouth, NH
Past
June 23, 2021 - November 17, 2022
LAKE STREET ADVISORS
RIA
CRD#: 288300
PORTSMOUTH, NH
Past
January 30, 2019 - May 28, 2021
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
DOVER, NH
Past
October 15, 2018 - May 28, 2021
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
DOVER, 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.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
Indiana(2/1/2024)
IAR
Indiana(2/1/2024)
RR
Maine(8/9/2023)
IAR
Maine(8/10/2023)
RR
Massachusetts(8/4/2023)
IAR
Massachusetts(8/9/2023)
RR
New Hampshire(12/2/2022)
IAR
New Hampshire(12/2/2022)
RR
New Mexico(8/3/2023)
IAR
New Mexico(8/4/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/15/2018
General Securities Representative ExaminationGeneral 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#: 164484Portsmouth, NH 03801TRUST BUT VERIFY
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