TD Securities (USA) LLC

Broker-DealerFINRA MemberEst. 1987
Total AUM
Advisory reps
1,880
Avg account
$0

Firm details

Headquarters
New York, New York
CRD number
18476
Registered since
January 2, 1987

Firm profile

FINTRX

Overview

TD Securities (USA) LLC is organized as a limited liability company and is classified in FINTRX as an investment bank. The firm first appeared in SEC records in 1987. Ownership is listed as a combination of a domestic entity and individual stakeholders. FINTRX indicates the firm does not act as a capital allocator, which aligns with its investment-banking classification rather than a traditional asset-management role. Disclosure in the dataset is limited. The firm is not identified as an active ESG investor, is not recorded as a multi-state adviser, and is not noted as a pension consultant or related adviser. FINTRX does not provide details on the firm’s client mix, fee schedules, specific business lines, or advisory activities, and no activities or affiliations were supplied in the source material.

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

3 of 11
  • Michael Broadbery

    Michael Broadbery

    Chief Compliance OfficerCRD 6947899

  • Stacey Judd

    ContractorCRD 1673204

  • Rene Kraenzlin

    Rene Kraenzlin

    Managing Director and Chief Operating OfficerCRD 2079574

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Contacts

3 of 1869
  • Bart Ferrigno

    Bart Ferrigno

    DirectorCRD 4480156

  • Aerris Smith

    Aerris Smith

    AssociateCRD 6940989

  • John Rusch

    John Rusch

    Vice President, Equity ResearchCRD 6218368

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

New York, NY

New York

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
New York
Address
1 Vanderbilt Ave
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth