DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

James Anthony Cerefice

Td Private Client Wealth LLCBD affiliatedNew York, NyIA-onlyIAPD 5390701

Feed of 09/14/2026

Also filed as James Cerefice

At current firm

0 y

since Aug 26, 2026

In the industry

18 y

since Feb 25, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Td Private Client Wealth LLC BD affiliated current
since Aug 26, 2026 · New York, Ny
Advice And Planning Services BD affiliated
Feb 21, 2019 to Apr 29, 2024 · New York, Ny
Alliancebernstein L.P. other
Jun 20, 2018 to Feb 5, 2019 · New York, Ny
Charles Schwab & Co., Inc. national BD
Feb 13, 2015 to Nov 14, 2017 · New York City, Ny
Pnc Wealth Management BD affiliated
Dec 4, 2013 to Jan 5, 2015 · Teaneck, Nj
J.P. Morgan Securities LLC wirehouse
Oct 1, 2012 to Nov 6, 2013 · Fairlawn, Nj
Chase Investment Services Corp. former
Dec 18, 2009 to Oct 1, 2012 · Hoboken, Nj
Wells Fargo Advisors wirehouse
Mar 10, 2008 to Dec 7, 2009 · East Orange, Nj

Moves

a registration end followed by a registration begin elsewhere

Advice And Planning Services to Td Private Client Wealth LLC
left Apr 29, 2024, registered Aug 26, 2026 (849 days) · Affiliated broker-dealer or bank to another
Alliancebernstein L.P. to Advice And Planning Services
left Feb 5, 2019, registered Feb 21, 2019 (16 days) · Other
Charles Schwab & Co., Inc. to Alliancebernstein L.P.
left Nov 14, 2017, registered Jun 20, 2018 (218 days) · Other
Pnc Wealth Management to Charles Schwab & Co., Inc.
left Jan 5, 2015, registered Feb 13, 2015 (39 days) · Other
J.P. Morgan Securities LLC to Pnc Wealth Management
left Nov 6, 2013, registered Dec 4, 2013 (28 days) · Other
Chase Investment Services Corp. to J.P. Morgan Securities LLC
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
Wells Fargo Advisors to Chase Investment Services Corp.
left Dec 7, 2009, registered Dec 18, 2009 (11 days) · Other

Signals

James Anthony Cerefice left Advice And Planning Services for Td Private Client Wealth Llc (registered 2026-08-26)
Apr 29, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address