Chase Harkins

TD PRIVATE CLIENT WEALTH

Augusta, ME 04330

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CRD#: 7788265

Professional summary

Chase Harkins, who also goes by Chase Braun Harkins, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Augusta, Maine.

Chase is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Chase has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Aliases

Chase Braun Harkins

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chase Harkins's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Chase Harkins'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

October 1, 2026 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 101 Western Avenue , Augusta, ME 04330

RIA

CRD#: 164484

Augusta, ME

Current

September 30, 2026 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 1255 South Willow Street 2nd Floor, Manchester, NH 03103

RIA

CRD#: 164484

Manchester, NH

Past

September 2, 2025 - September 28, 2026

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Brewer, ME

Past

January 18, 2025 - September 28, 2026

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Brewer, ME

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

Maine
(9/30/2026)

IAR

Maine
(10/1/2026)

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

What does exam status mean?

State Security Law Exam

IAR

Series 66

Status Unavailable

Passed: 8/16/2025

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Status Unavailable

Passed: 1/18/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 8/26/2024

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

671

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 JUNE 12 2026 (6/12/2026)

TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2026 (1/29/2026)

Direct owners and executive officers

Name	Position	CRD#
TD BANK, NATIONAL ASSOCIATION	OWNER
BEGUN, ROBERT	PRESIDENT & DIRECTOR	4436053
CALDERON NAJERA, NAYRA	CCO	5040972
CARROLL, ANNA	COO & DIRECTOR	4487506
CHABOT, ALAN J	CEO & DIRECTOR	2617874
SNYDER, JONATHAN	CFO AND FINANCIAL AND OPERATIONS PRINCIPAL	6514215

Regulatory assets under management

Total Number of Accounts	25,698
AUM (Assets Under Management)	$ 8,574,585,303

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

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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Advisor Monitoring

Firm Stability Insights

Chase Harkins

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chase Harkins's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Chase Harkins's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

TD PRIVATE CLIENT WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Passed: 8/16/2025

Series 7TO

Passed: 1/18/2025

SIE

Passed: 8/26/2024

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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