Full text of TD PRIVATE CLIENT WEALTH LLC's X-17A-5 filed 2023-12-22 (period 2023-10-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  # STATEMENT OF FINANCIAL CONDITION October 31, 2023 {1}------------------------------------------------ ### Statement of Financial Condition October 31, 2023 ### Contents | Annual Audited Report X-17A-5 - Part III | | |---------------------------------------------------------|--| | Oath or Affirmation | | | Report of Independent Registered Public Accounting Firm | | | Statement of Financial Condition | | | Notes to Statement of Financial Condition | | {2}------------------------------------------------ | | UNITED STATES | | | OMB APPROVAL | |-----------------------------------------------------------------------------------------------------------|------------------------------------------------------------|----|-----------------|----------------------------------------------------| | | SECURITIES AND EXCHANGE COMMISSION | | | OMB Number: 3235-0123 | | | Washington, D.C. 20549 | | | Expires: Nov. 30, 2026<br>Estimated average burden | | | | | | hours per response: 12 | | | ANNUAL REPORTS | | | SEC FILE NUMBER | | | FORM X-17A-5 | | | 8-69105 | | | PART III | | | | | | | | | | | | 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 11/01/2022 | | | | _AND ENDING 10/31/2023 | | | MM/DD/YY | | | MM/DD/YY | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: | TD PRIVATE CLIENT WEALTH LLC | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | = Broker-dealer | | | | _ Major security-based swap participant | | L Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 1 VANDERBILT AVENUE, 22ND FLOOR | | | | | | | | | | | | (No. and Street) | | | | | New York | | NY | | 10017 | | (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 whose reports are contained in this filing* | | | | | | | Ernst & Young LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | | One Manhattan West | New York | | NY | 10001 | | (Addre…Read the full text as markdown