Full text of TD PRIVATE CLIENT WEALTH LLC's X-17A-5 filed 2025-12-18 (period 2025-10-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  # **STATEMENT OF FINANCIAL CONDITION** # **(AUDITED)** **October 31, 2025** {1}------------------------------------------------ Financial Statements ### **October 31, 2025** #### **Contents** | Annual Audited Report X-17A-5 – Part III | 1 | |-----------------------------------------------------------------------|--------| | Oath or Affirmation | 2 | | Report of Independent Registered Public Accounting Firm | 3 | | Statement of Financial Condition<br>Notes to the Financial Statements | 4<br>5 | {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: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-69105 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<sup>c</sup>11/01/2024 MM/DD/YY MM/DD/YY 10/31/2025 A. REGISTRANT IDENTIFICATION # TD PRIVATE CLIENT WEALTH LLC NAME OF FIRM: TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer Security-based swap dealer Check here if respondent is also an OTC derivatives dealer Major security-based swap participant AND ENDING ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use <sup>a</sup> P.O. box no.) | | One Vanderbilt Avenue | | | | |---------------------------------------------------------------------------|-----------------------------------------------------------|---------|--------------------------------------------|--| | | (No. and Street) | | | | | New York | NY | | 10017 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Jorge Ortiz | (212) 827-7000 | | Jorge.L.Ortiz@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 | | | (Address) | (City) | (State) | (Zip Code) | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent publ…Read the full text as markdown