Xin Shen
Professional summary
Xin Shen, who also goes by Anne Shen, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Xin is registered as a RR (Registered Representative) and started their career in finance in 2021. Xin has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Xin Shen's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 9, 2023 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017May 28, 2021 - November 30, 2022
BMO CAPITAL MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/9/2023)
Exams
Series 7TO
Date: 5/28/2021
General Securities Representative ExaminationFINRA
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
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