Jane A. Staunton
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.
Jane Andrea Staunton, who also goes by Jane A Staunton, Jane Staunton, was a registered financial professional .
Jane is a previously registered financial professional and started their career in finance in 1976. Jane had worked at 11 firms and has passed the Series 66, SIE, Series 7, Series 31 and PC exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2016 - May 7, 2019
TD PRIVATE CLIENT WEALTH LLC
October 17, 2016 - May 7, 2019
TD PRIVATE CLIENT WEALTH LLC
February 9, 2011 - December 31, 2015
BNY MELLON SECURITIES CORPORATION
February 2, 2011 - December 31, 2015
BNY MELLON SECURITIES CORPORATION
December 18, 2007 - February 26, 2010
ALLIANCEBERNSTEIN L.P.
September 6, 2007 - February 26, 2010
SANFORD C. BERNSTEIN & CO., LLC
April 8, 1994 - May 26, 2000
MORGAN STANLEY & CO. LLC
February 14, 1994 - August 16, 1999
ADLER COLEMAN & CO., INC.
May 5, 1988 - April 16, 1992
BRIDGE TRADING COMPANY
November 7, 1984 - February 17, 1988
WALSH, GREENWOOD & CO.
May 17, 1979 - February 27, 1984
SALOMON BROTHERS INC.
February 25, 1977 - May 23, 1979
FIRST PENNCO SECURITIES, INC.
December 1, 1976 - March 4, 1977
MORGAN STANLEY & CO., INCORPORATED
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
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
PC
Date: 11/7/1984
AMEX Put and Call ExamCurrent Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
