John Raffa
Professional summary
John Raffa, who also goes by John Anthony Raffa, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 2025. John has worked at 2 firms and has passed the Series 99TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Raffa's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 20, 2026 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017October 20, 2025 - July 8, 2026
INTERACTIVE BROKERS LLC
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
Series 99TO
Date: 10/20/2025
Operations Professional 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 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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