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Roel J Perez

TD Private Client Wealth LLC

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About Roel J Perez

Roel Perez is an investment advisor representative at TD Private Client Wealth LLC. Roel has been in the financial services industry since 2009. Roel specializes in providing financial planning, pension consulting, educational seminars and portfolio management for individuals and businesses. Roel is licensed in Connecticut, New Jersey, New York and South Carolina.

Firm Information

Roel Perez 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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Roel Perez’s Registration & Firm History

NJ

03/01/2024 - Present

TD Private Client Wealth LLC (RAMSEY NJ)

NY

05/06/2013 - 12/31/2014

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

02/04/2009 - 02/08/2012

CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)

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Licenses & Designations

IA

Issued 10/02/2020

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/16/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/31/2014

SIE - Securities Industry Essentials Examination

BC

Issued 02/03/2009

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There is public disclosure for Roel J Perez. Review regulatory record here.
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