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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

JULIE WONG SUMITOMO

Advisor at TD PRIVATE CLIENT WEALTH LLC

Bernardsville, NJ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Apr 18, 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: Oct 16, 2007earliest 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: 3
Current registrations: 1
Registered states: 50
Exams: S66
First exam: Oct 16, 2007
First registration: Apr 18, 2008
Dual registered: yes, broker-dealer
Other names: CHO LI JULIE WONG|JULIE CHO LI WONG|JULIE CHO-LI WONG|JULIE CHO-LI WONG|Julie Wong Sumitomo|JULIE SUMITOMO
IAPD individual key: 5402888

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	Sep 26, 2025	n/a	yes	Bernardsville, NJ	Current employment
SANTANDER SECURITIES	Bd affiliated wealth	Sep 21, 2012	Sep 15, 2025	no	DORCHESTER, MA\|Boston, MA\|Boston, MA\|Scotch Plains, NJ\|Scotch Plains, NJ	Previous registration
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Sep 10, 2009	Aug 13, 2012	no	CANTON, MA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Apr 18, 2008	Feb 9, 2009	no	CAMP HILL, PA	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
SANTANDER SECURITIES	TD PRIVATE CLIENT WEALTH LLC	Sep 15, 2025	Sep 26, 2025	11	Firm change	Ibd to ibd
CITIZENS SECURITIES, INC.	SANTANDER SECURITIES	Aug 13, 2012	Sep 21, 2012	39	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	CITIZENS SECURITIES, INC.	Feb 9, 2009	Sep 10, 2009	213	Firm change	Other

Relationships

Registered with (4)

→ TD PRIVATE CLIENT WEALTH LLCRegistered adviserregistration: current employment
Sep 26, 2025 to presentfactForm ADV
→ SANTANDER SECURITIESRegistered adviserregistration: previous registration
Sep 21, 2012 to Sep 15, 2025factForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserregistration: previous registration
Sep 10, 2009 to Aug 13, 2012factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Apr 18, 2008 to Feb 9, 2009factForm ADV

Dated events

Occurred
Sep 15, 2025
Advisor changed firm
Julie Wong Sumitomo left Santander Securities for Td Private Client Wealth Llc (registered 2025-09-26)
Form ADVobserved 5 days ago