TD PRIVATE CLIENT WEALTH LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 164484). Regulatory assets under management: $8.6B.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles, Pensions, Charities, Corporations.
| Name | Role | Location |
|---|---|---|
| Kevin Keith Wilson | FINOP | — |
| Jorge Luis Ortiz | CFO & FINOP | — |
| Alan J Chabot | CEO | — |
| Nayra Calderon Najera | CCO | — |
| Robert Begun | PRESIDENT | — |
| Anna Carroll | COO | — |
| John Louis Iii Schautz | COO | — |
| James Henry Jr. Beam | PRESIDENT | — |
| FEIN KEVIN LINDSEY | CCO | — |
| THOMPSON KENNETH GERARD | CEO; PRESIDENT AND CEO | — |
| TRIPODI FRANK JOHN | CFO, FINOP, COO | — |
| WALSH PAUL ROBERT | CCO | — |
| ROSENTHAL RICHARD SETH | CFO & FINOP | — |
| SCHAUTZ JOHN LOUIS III | COO | — |
| MIHALIOS MARKELLA | CCO | — |
| SUNDRAM JEFFREY JOSEPH RODRIGUES | CCO | — |
| WILSON KEITH | FINOP | — |
| BEAM JAMES HENRY JR | PRESIDENT | — |
| ORTIZ JORGE LUIS | CFO & FINOP | — |
| CHABOT ALAN J | HEAD OF DISTRIBUTION US WEALTH (US) | — |
Showing 10 of 13 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-09-12 | regulatory | ON SEPTEMBER 12, 2025, THE CHICAGO MERCANTILE EXCHANGE ("CME") MADE FINDINGS INVOLVING THE TORONTO-DOMINION BANK ("TD") RELATED TO A TRANSACTION EFFECTED ON THE CHICAGO BOARD OF TRADE ("CBOT") IN JUNE 2023. THE CME DETERMINED THAT THE TRANSACTION WAS EXECUTED IN ORDER TO TRANSFER A FUTURES POSITION… | Final | $25K |
| 2024-10-10 | regulatory | ON OCTOBER 10, 2024 THE FINANCIAL CRIMES ENFORCEMENT NETWORK ("FINCEN") ENTERED INTO A CONSENT ORDER WITH TD BANK, N.A. ("TDBNA") AND TD BANK USA, N.A. ("TDBUSA") CONCERNING VIOLATIONS OF THE BSA, INCLUDING THE FAILURE TO MAINTAIN AN ADEQUATE AML PROGRAM, 31 U.S.C. § 5318(H)(1) AND 31 C.F.R. § 1020.… | Final | $1.3B |
| 2024-10-10 | regulatory | ON OCTOBER 10, 2024 THE FINANCIAL CRIMES ENFORCEMENT NETWORK ("FINCEN") ENTERED INTO A CONSENT ORDER WITH TDBNA AND TD BANK USA, NATIONAL ASSOCIATION CONCERNING VIOLATIONS OF THE BSA, INCLUDING THE FAILURE TO MAINTAIN AN ADEQUATE AML PROGRAM, 31 U.S.C. § 5318(H)(1) AND 31 C.F.R. § 1020.210(A), AND T… | Final | $1.3B |
| 2024-10-10 | regulatory | ON OCTOBER 10, 2024 THE OCC ENTERED INTO A CONSENT ORDER WITH TDBNA AND TDBUSA UNDER 12 C.F.R. ? 21.21, 12 C.F.R. ? 21.11, 31 C.F.R. ? 1010.312 AND 31 C.F.R. ? 1020.210(A)(2)(V), CONCERNING VIOLATIONS OF THE BSA, INCLUDING THE FAILURE TO MAINTAIN A COMPLIANT AML PROGRAM, THE FAILURE TO FILE SARS AND… | Final | $450.0M |
| 2024-10-10 | regulatory | ON OCTOBER 10, 2024 THE OCC ENTERED INTO A CONSENT ORDER WITH TDBNA AND TDBUSA UNDER 12 C.F.R. § 21.21, 12 C.F.R. § 21.11, 31 C.F.R. § 1010.312 AND 31 C.F.R. § 1020.210(A)(2)(V), CONCERNING VIOLATIONS OF THE BSA, INCLUDING THE FAILURE TO MAINTAIN A COMPLIANT AML PROGRAM, THE FAILURE TO FILE SARS AND… | Final | $450.0M |
| 2024-10-10 | criminal | THE DOJ ALLEGED THAT BETWEEN JANUARY 2014 AND OCTOBER 2023 (THE "RELEVANT PERIOD"), TDBNA AND TDBUSH FAILED TO IMPLEMENT AN AML PROGRAM THAT COMPLIED WITH THE BSA, AND AS A RESULT, FAILED TO REMEDIATE DEFICIENCIES IN THE AML PROGRAM, INCLUDING (A) FAILING TO SUBSTANTIVELY UPDATE TDBNA'S TRANSACTION… | Final | — |
| 2024-10-09 | regulatory | THE FEDERAL RESERVE BOARD ENTERED A CEASE-AND-DESIST ORDER AND ORDER OF ASSESSMENT OF A CIVIL MONETARY PENALTY (THE "FRB ORDER") ON OCTOBER 9, 2024 AGAINST TD BANK, TDBUSH AND TD GUS, THE DIRECT PARENT OF TDBUSH AND THE ULTIMATE U.S. HOLDING COMPANY FOR TD BANK'S U.S. OPERATIONS, UNDER SECTIONS 8(B)… | Final | $123.5M |
| 2024-09-17 | regulatory | ON SEPTEMBER 17, 2024, THE U.S. SECURITIES AND EXCHANGE COMMISSION ("SEC") ISSUED A SETTLED ADMINISTRATIVE ORDER THAT FOUND THAT FROM AT LEAST DECEMBER 2019 THROUGH SEPTEMBER 17, 2024, TD PRIVATE CLIENT WEALTH LLC ("TDPCW") WILLFULLY VIOLATED SECTION 13(F)(1) OF THE EXCHANGE ACT AND RULE 13F-1 THERE… | Final | $475K |
| 2024-08-14 | regulatory | ON AUGUST 14, 2024, THE SEC ISSUED AN ORDER, PURSUANT TO AN OFFER OF SETTLEMENT, CONTAINING FINDINGS THAT TD PRIVATE CLIENT WEALTH LLC (TDPCW) (AND AN AFFILIATED BROKER DEALER, TD SECURITIES (USA) LLC (TD SECURITIES), AND AN AFFILIATED INVESTMENT ADVISER, EPOCH INVESTMENT PARTNERS INC (EPOCH) (COLLE… | Final | $30.0M |
| 2021-02-09 | regulatory | IN NOVEMBER 2023, TDPCW ENTERED INTO AN AWC WITH FINRA FOR FAILURE TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUDING WRITTEN PROCEDURES, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE TDPCW'S OBLIGATION TO REVIEW CORRESPONDENCE AND INTERNAL COMMUNICATIONS. AS A RESULT, TDPCW FAILED TO RE… | Final | $600K |