Suzanne J. Currie
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.
Suzanne Jeanne Currie, who also goes by Suzanne Jeanne Boller, Suzanne J Currie, Suzanne Jeanne Currie, Suzanne Currie, Suzanne J. Currie, Suzanne Jeanne Morris, was a registered financial professional .
Suzanne is a previously registered financial professional and started their career in finance in 1998. Suzanne had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 82 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2023 - August 9, 2024
TD PRIVATE CLIENT WEALTH LLC
December 6, 2023 - August 9, 2024
TD PRIVATE CLIENT WEALTH LLC
January 30, 2023 - July 10, 2023
J.P. MORGAN SECURITIES LLC
September 28, 2022 - July 10, 2023
J.P. MORGAN SECURITIES LLC
June 2, 2017 - July 7, 2022
CELADON FINANCIAL GROUP LLC
March 2, 2016 - June 2, 2017
CAPITAL GROWTH ADVISORS LLC
May 28, 2012 - March 8, 2016
PICKWICK CAPITAL PARTNERS, LLC
July 4, 2007 - October 20, 2008
DOMINICK & DICKERMAN LLC
May 25, 1999 - June 20, 2000
ALPHA SECURITIES CORP.
January 1, 1998 - September 16, 1999
ABSOLUTE RETURN ADVISORS, LTD.
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
Current 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.
