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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)30 years in industry

JOSEPH ANTHONY SANTOS

Advisor at TD PRIVATE CLIENT WEALTH LLC

NEW YORK, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 4, 2004 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: May 28, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 30
Designations: Certified Financial Planner
Exams: S65|S63
First exam: May 28, 1996
First registration: Jun 4, 2004
Dual registered: yes, broker-dealer
Other names: TONY SANTOS
IAPD individual key: 2745089

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 25, 2013	n/a	yes	NEW YORK, NY	Current employment
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Oct 21, 2008	Aug 22, 2013	no	NEW YORK, NY\|NEW YORK CITY, NY\|NEW YORK, NY\|NEW YORK, NY	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Oct 20, 2004	Oct 21, 2008	no	NEW YORK, NY\|NEW YORK, NY	Previous registration
QUICK & REILLY, INC.	n/a	Jun 4, 2004	Oct 20, 2004	no	NEW YORK, NY	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
HSBC SECURITIES (USA) INC.	TD PRIVATE CLIENT WEALTH LLC	Aug 22, 2013	Aug 25, 2013	3	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	HSBC SECURITIES (USA) INC.	Oct 21, 2008	Oct 21, 2008	0	Firm change	Other
QUICK & REILLY, INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Oct 20, 2004	Oct 20, 2004	0	Bulk transfer	Other

Relationships

Registered with (4)

→ TD PRIVATE CLIENT WEALTH LLCRegistered adviserregistration: current employment
Aug 25, 2013 to presentfactForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Oct 21, 2008 to Aug 22, 2013factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 20, 2004 to Oct 21, 2008factForm ADV
→ QUICK & REILLY, INC.Registered adviserregistration: previous registration
Jun 4, 2004 to Oct 20, 2004factForm ADV

Dated events

No dated event names this entity yet.