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Joseph Anthony Santos

TD Private Client Wealth LLC

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About Joseph Anthony Santos

Joseph Santos is a financial advisor at TD Private Client Wealth LLC. Joseph Santos is a CERTIFIED FINANCIAL PLANNER™ professional and has been in the financial services industry since 1996. Joseph Santos is registered in 27 states and holds Series 7, 63, and 65 licenses. Joseph Santos specializes in portfolio management for individuals and businesses, financial planning, pension consulting, and educational seminars.

Firm Information

Joseph Santos is currently registered with TD Private Client Wealth LLC. TD Private Client Wealth LLC, a Limited Liability Company formed in 2012, is an investment advisor with offices in New York, NY. The firm manages approximately $1 billion to $10 billion in assets and provides financial planning, pension consulting, educational seminars, portfolio management for individuals and businesses, and other advisory services. TD Private Client Wealth LLC has been registered with the SEC and is also registered in all 50 states. The firm serves a variety of clients including individuals, high net worth individuals, corporations, pension and profit-sharing plans, and charitable organizations.
TD Private Client Wealth LLC

1 VANDERBILT AVENUE

NEW YORK, NY 10017

$6.45B

Assets Under Management

Not reported

Total Clients

487

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Joseph Santos’s Registration & Firm History

NY

02/04/2019 - Present

TD Private Client Wealth LLC (NEW YORK NY)

NY

10/21/2008 - 08/22/2013

HSBC SECURITIES (USA) INC. (NEW YORK NY)

NY

10/20/2004 - 10/21/2008

BANC OF AMERICA INVESTMENT SERVICES, INC. (NEW YORK NY)

NY

05/22/2003 - 10/20/2004

QUICK & REILLY, INC. (NEW YORK NY)

NJ

10/04/1996 - 04/16/2003

UBS PAINEWEBBER INC. (WEEHAWKEN NJ)

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Licenses & Designations

IA

Issued 06/03/2004

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/28/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/18/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Joseph Anthony Santos. Review regulatory record here.
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