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RIA / WealthAdvisor18 years in industry

James Anthony Cerefice

Advisor at TD PRIVATE CLIENT WEALTH LLC

NEW YORK, NY

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Search this name across graphsid dfx:ria:04844136-0ddb-9928-94e0-2ba7df7b325a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Mar 10, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: TD PRIVATE CLIENT WEALTH LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 25, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Feb 25, 2008
First registration: Mar 10, 2008
Dual registered: no
Other names: JAMES CEREFICE
IAPD individual key: 5390701

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
TD PRIVATE CLIENT WEALTH LLC	Bd affiliated wealth	Aug 26, 2026	n/a	yes	NEW YORK, NY	Current employment
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Feb 21, 2019	Apr 29, 2024	no	NEW YORK, NY	Previous registration
ALLIANCEBERNSTEIN L.P.	Other adviser	Jun 20, 2018	Feb 5, 2019	no	New York, NY	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Feb 13, 2015	Nov 14, 2017	no	New York City, NY	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Dec 4, 2013	Jan 5, 2015	no	TEANECK, NJ\|PALISADES PARK, NJ\|RIDGEFIELD, NJ\|GARFIELD, NJ\|LITTLE FERRY, NJ	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Nov 6, 2013	no	FAIRLAWN, NJ\|SADDLE BROOK, NJ\|ELMWOOD PARK, NJ	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Dec 18, 2009	Oct 1, 2012	no	HOBOKEN, NJ\|ELMWOOD PARK, NJ\|FAIRLAWN, NJ\|SADDLE BROOK, NJ\|HOBOKEN, NJ\|WEEHAWKEN, NJ\|FAIRLAWN, NJ\|LODI, NJ\|FAIRLAWN, NJ	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Mar 10, 2008	Dec 7, 2009	no	EAST ORANGE, NJ\|SHORT HILLS, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ADVICE AND PLANNING SERVICES	TD PRIVATE CLIENT WEALTH LLC	Apr 29, 2024	Aug 26, 2026	849	Firm change after gap	Ibd to ibd
ALLIANCEBERNSTEIN L.P.	ADVICE AND PLANNING SERVICES	Feb 5, 2019	Feb 21, 2019	16	Firm change	Other
CHARLES SCHWAB & CO., INC.	ALLIANCEBERNSTEIN L.P.	Nov 14, 2017	Jun 20, 2018	218	Firm change	Other
PNC WEALTH MANAGEMENT	CHARLES SCHWAB & CO., INC.	Jan 5, 2015	Feb 13, 2015	39	Firm change	Other
J.P. MORGAN SECURITIES LLC	PNC WEALTH MANAGEMENT	Nov 6, 2013	Dec 4, 2013	28	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
WELLS FARGO ADVISORS	CHASE INVESTMENT SERVICES CORP.	Dec 7, 2009	Dec 18, 2009	11	Firm change	Other

Relationships

Registered with (8)

→ TD PRIVATE CLIENT WEALTH LLCRegistered adviserregistration: current employment
Aug 26, 2026 to presentfactForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Feb 21, 2019 to Apr 29, 2024factForm ADV
→ ALLIANCEBERNSTEIN L.P.Registered adviserregistration: previous registration
Jun 20, 2018 to Feb 5, 2019factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Feb 13, 2015 to Nov 14, 2017factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Dec 4, 2013 to Jan 5, 2015factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Nov 6, 2013factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Dec 18, 2009 to Oct 1, 2012factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 10, 2008 to Dec 7, 2009factForm ADV

Dated events

Occurred
Apr 29, 2024
Advisor changed firm
James Anthony Cerefice left Advice And Planning Services for Td Private Client Wealth Llc (registered 2026-08-26)
Form ADVobserved 5 days ago