Lewis J. Licari
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lewis Joseph Licari, who also goes by Luigi Joseph Licari, was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1981. Lewis had worked at 14 firms and has passed the Series 63, Series 7, Series 9, Series 10, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2011 - March 28, 2014
TD SECURITIES (USA) LLC
June 9, 2003 - October 6, 2009
ABN AMRO INCORPORATED
July 25, 2002 - July 3, 2003
UST SECURITIES CORP.
April 3, 1998 - July 12, 2002
CHARLES SCHWAB & CO., INC.
June 20, 1997 - February 3, 1998
E*TRADE SECURITIES LLC
May 21, 1996 - April 9, 1997
U.S. BANCORP SECURITIES
February 17, 1993 - December 31, 1995
ESSEX NATIONAL SECURITIES, LLC
January 9, 1990 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
January 9, 1990 - January 4, 1994
MONY SECURITIES CORPORATION
September 12, 1988 - January 10, 1990
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
January 28, 1988 - September 1, 1988
CAL FED INVESTMENTS
August 3, 1987 - January 15, 1988
CAPITAL BROKERAGE CORPORATION
July 23, 1984 - December 16, 1985
JOHNSTOWN CAPITAL SECURITIES CORPORATION
March 23, 1981 - April 20, 1984
SUTRO & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
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.
