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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

NICHOLAS CHRISTOPHER ROUNDS

Advisor at TD PRIVATE CLIENT WEALTH LLC

Marlton, NJ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 22, 2005 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 21, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 7
Exams: S66
First exam: Feb 21, 2005
First registration: Feb 22, 2005
Dual registered: yes, broker-dealer
Other names: NICK ROUNDS|NICK ROUNDS
IAPD individual key: 4726163

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 11, 2013	n/a	yes	Marlton, NJ	Current employment
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Dec 21, 2011	Apr 16, 2012	no	COLUMBUS, OH\|MOORESTOWN, NJ	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Jun 2, 2009	Mar 1, 2011	no	YARDLEY, PA\|YARDLEY, PA\|PHILADELPHIA, PA\|MOORESTOWN, NJ\|YARDLEY, PA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Mar 11, 2008	Apr 28, 2009	no	HADDONFIELD, NJ	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Oct 13, 2005	Feb 27, 2008	no	MOORESTOWN, NJ\|MOORESTOWN, NJ	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Feb 22, 2005	Jun 29, 2005	no	MARLTON, 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
PNC WEALTH MANAGEMENT	TD PRIVATE CLIENT WEALTH LLC	Apr 16, 2012	Dec 11, 2013	604	Firm change after gap	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	PNC WEALTH MANAGEMENT	Apr 28, 2009	Jun 2, 2009	35	Firm change	Other
PNC WEALTH MANAGEMENT	BANC OF AMERICA INVESTMENT SERVICES, INC.	Feb 27, 2008	Mar 11, 2008	13	Firm change	Other

Relationships

Registered with (3)

→ TD PRIVATE CLIENT WEALTH LLCRegistered adviserregistration: current employment
Dec 11, 2013 to presentfactForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Dec 21, 2011 to Apr 16, 2012factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Mar 11, 2008 to Apr 28, 2009factForm ADV

Dated events

No dated event names this entity yet.