Dario J. Polci

TD PRIVATE CLIENT WEALTH LLC

Bloomfield, NJ 07003

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CRD#: 7093930

Professional summary

Dario John Polci, who also goes by Dario John Polci, Dario J Polci, Dario Polci, Dario Valli, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Bloomfield, New Jersey.

Dario is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Dario has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dario John Polci | Dario J Polci | Dario Polci | Dario Valli

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.

DJ - DARIO POLCI POSITION: entertainment NATURE: Arts, Entertainment, and Recreation INVESTMENT RELATED: No NUMBER OF HOURS: Approximately 5 hours a week. START DATE: 05/01/2015 ADDRESS: 228 Eagle Rock Ave, Roseland NJ 07068, United States DESCRIPTION: entertainment

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dario John Polci's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Dario John Polci's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 12, 2023 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 1476 Broad Street, Bloomfield, NJ 07003

RIA

CRD#: 164484

Bloomfield, NJ

Current

April 12, 2023 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 336 Route 70 East 2nd Floor, Marlton, NJ 08053

RIA

CRD#: 164484

Marlton, NJ

Past

December 1, 2022 - February 27, 2023

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484

NEW YORK, NY

Past

July 7, 2021 - December 2, 2022

EQUITABLE ADVISORS, LLC

CRD#: 6627

WOODBRIDGE, NJ

Past

June 2, 2020 - June 14, 2021

PRUCO SECURITIES, LLC.

CRD#: 5685

Basking Ridge, NJ

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".

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

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.

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

Illinois
(11/8/2024)

IAR

Illinois
(11/8/2024)

New Jersey
(4/12/2023)

IAR

New Jersey
(4/12/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/3/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/16/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 6/2/2020

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 11/13/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA

Registered Investment Advisory firm - SEC (4/11/2013 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TD PRIVATE CLIENT WEALTH LLC MANAGED ACCOUNT PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2025 (1/31/2025)

Direct owners and executive officers

Name	Position	CRD#
TD BANK, NATIONAL ASSOCIATION	OWNER
BEAM, JAMES HENRY JR.	PRESIDENT	4274924
CALDERON NAJERA, NAYRA	CCO	5040972
CHABOT, ALAN J	CEO	2617874
ORTIZ, JORGE LUIS	CFO & FINOP	2725922
SCHAUTZ, JOHN LOUIS III	COO	1430568
WILSON, KEVIN KEITH	FINOP	5437711

Regulatory assets under management

Total Number of Accounts	17,824
AUM (Assets Under Management)	$ 6,450,375,507

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/30/2025	Cover Page	Report
09/27/2024	Cover Page	Report
06/27/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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.

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Dario J. Polci

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dario John Polci's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Dario John Polci's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

TD PRIVATE CLIENT WEALTH LLC

EQUITABLE ADVISORS, LLC

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/3/2023

Series 63

Date: 1/16/2020

Series 6TO

Date: 6/2/2020

SIE

Date: 11/13/2019

FINRA

Current Firm

TD PRIVATE CLIENT WEALTH LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

TD PRIVATE CLIENT WEALTH LLC

TRUST BUT VERIFY

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