Full text of TD PRIVATE CLIENT WEALTH LLC's X-17A-5 filed 2022-12-20 (period 2022-10-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  ## STATEMENT OF FINANCIAL CONDITION October 31, 2022 {1}------------------------------------------------ #### Statement of Financial Condition October 31, 2022 ## **Contents** | Annual Audited Report X-17A-5 – Part III 2 | | |-----------------------------------------------------------|--| | | | | Oath or Affirmation 3 | | | Report of Independent Registered Public Accounting Firm 4 | | | Statement of Financial Condition 5 | | | Notes to Statement of Financial Condition 6 | | {2}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | ANNUAL REPORTS | | |----------------|--| | FORM X-17A-5 | | | PART III | | | OMB APPROVAL | | | | | |---------------------------|--|--|--|--| | OMB Number: 3235-0123 | | | | | | Expires: Oct. 31, 2023 | | | | | | Estimated average burden | | | | | | 12<br>hours per response: | | | | | | | | | | | SEC FILE NUMBER 8 - 68677 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING | | 11/01/2021<br>AND ENDING | | | 10/31/2022 | | | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--|------------------------------------------------------------|---------|------------------------------------|--------------------------------------------|--|--|--| | | | MM/DD/YY | | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | NAME OF FIRM: | | TD Private Client Wealth LLC | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Z Broker-dealer<br>[] Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | | | | 444 Madison Avenue - 11th Floor | | | | | | | | | | (No. and Street) | | | | | | | | New York | | NY | | | 10022 | | | | | (City) | | | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | Richard Rosenthal | | 212-827-6840 | | richard.rosenthal@tdsecurities.com | | | | | | (Name) | | (Area Code - Telephone Number) | | | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT…Read the full text as markdown