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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

ROBERT GIUFFRIDA

Advisor at TD PRIVATE CLIENT WEALTH LLC

Greenwich, CT | White Plains, NY

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Search this name across graphsid dfx:ria:d4dc969e-50ca-e9c7-3a4f-f9fcc6873aaa

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 26, 2007 to Sep 15, 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: Aug 2, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 4
Exams: S66|S63
First exam: Aug 2, 2006
First registration: Sep 26, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 5142063

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	Dec 4, 2025	n/a	yes	White Plains, NY\|Greenwich, CT	Current employment
CHARLES SCHWAB & CO., INC.	National bd RIA	Mar 14, 2022	Jul 12, 2025	no	Scarsdale, NY\|Greenwich, CT	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Sep 26, 2007	Sep 7, 2023	no	PARAMUS, NJ\|SCARSDALE, NY\|SCARSDALE, NY\|Greenwich, CT\|Scarsdale, NY	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Sep 26, 2007	Oct 14, 2022	no	Paramus, NJ\|Scarsdale, NY\|Scarsdale, NY\|Greenwich, CT\|Scarsdale, NY\|OMAHA, NE	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
CHARLES SCHWAB & CO., INC.	TD PRIVATE CLIENT WEALTH LLC	Jul 12, 2025	Dec 4, 2025	145	Firm change	Ibd to ibd
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	CHARLES SCHWAB & CO., INC.	Sep 7, 2023	Mar 14, 2022	-542	Bulk transfer	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 14, 2022	Sep 26, 2007	-5,497	Bulk transfer	Other

Relationships

Registered with (4)

→ TD PRIVATE CLIENT WEALTH LLCRegistered adviserregistration: current employment
Dec 4, 2025 to presentfactForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Mar 14, 2022 to Jul 12, 2025factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 26, 2007 to Sep 7, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Sep 26, 2007 to Oct 14, 2022factForm ADV

Dated events

Occurred
Jul 12, 2025
Advisor changed firm
Robert Giuffrida left Charles Schwab & Co., Inc. for Td Private Client Wealth Llc (registered 2025-12-04)
Form ADVobserved 4 days ago