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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

RICHARD J CLINE

Advisor at TD PRIVATE CLIENT WEALTH LLC

NEW YORK, NY | New York, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8ec94c66-3cc1-4110-e127-59cfa1e1a8c8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 20, 2014 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 17, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 12
Exams: S63|S66|S65
First exam: Oct 17, 2014
First registration: Oct 20, 2014
Dual registered: yes, broker-dealer
Other names: RICHARD JOSEPH CLINE|RICHARD JOSEPH CLINE|RICHARD JOSEPH CLINE|Richard J Cline|RICHARD CLINE
IAPD individual key: 6022309

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	Jun 8, 2023	n/a	yes	NEW YORK, NY\|New York, NY	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 7, 2015	Sep 6, 2019	no	BAYONNE, NJ\|JERSEY CITY, NJ\|ISELIN, NJ\|JERSEY CITY, NJ\|JERSEY CITY, NJ\|LINCROFT, NJ\|LINCROFT, NJ\|LINCROFT, NJ\|WALL TOWNSHIP, NJ\|SHREWSBURY, NJ\|SHREWSBURY, NJ\|RED BANK, NJ\|LINCROFT, NJ\|MIDDLETOWN, NJ\|WALL TOWNSHIP, NJ	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Oct 20, 2014	Mar 18, 2015	no	NORFOLK, VA\|NORFOLK, VA\|MOUNTAIN LAKES, NJ\|NEW YORK, NY\|NEW YORK, NY\|BELFORD, NJ\|OAKHURST, NJ\|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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	TD PRIVATE CLIENT WEALTH LLC	Sep 6, 2019	Jun 8, 2023	1,371	Firm change after gap	Wirehouse to ibd
WELLS FARGO ADVISORS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 18, 2015	May 7, 2015	50	Firm change	Wirehouse to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:7691:NY:2015-03-18	Mar 18, 2015	May 7, 2015	NEW YORK, NY	Firm change

Relationships

Registered with (3)

→ TD PRIVATE CLIENT WEALTH LLCRegistered adviserregistration: current employment
Jun 8, 2023 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 7, 2015 to Sep 6, 2019factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 20, 2014 to Mar 18, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8ec94c66-3cc1-4110-e127-59cfa1e1a8c8
First observed: Oct 20, 2014
Last observed: Sep 14, 2026 4 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

RICHARD J CLINE

Advisor at TD PRIVATE CLIENT WEALTH LLC

NEW YORK, NY | New York, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8ec94c66-3cc1-4110-e127-59cfa1e1a8c8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:18 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

TD PRIVATE CLIENT WEALTH LLC

Bd affiliated wealth

Jun 8, 2023

n/a

yes

NEW YORK, NY|New York, NY

Current employment

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

May 7, 2015

Sep 6, 2019

Previous registration

WELLS FARGO ADVISORS

Wirehouse

Oct 20, 2014

Mar 18, 2015

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TD PRIVATE CLIENT WEALTH LLC

Sep 6, 2019

Jun 8, 2023

1,371

Firm change after gap

Wirehouse to ibd

WELLS FARGO ADVISORS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Mar 18, 2015

May 7, 2015

Firm change

Wirehouse to wirehouse

Team

Left

Joined

From

Kind

19616:7691:NY:2015-03-18

Mar 18, 2015

May 7, 2015

NEW YORK, NY

Firm change