Individual Firm
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Cyndy Marie Toscano
CYNDY MARIE SMOLSKY
CRD#: 4292727
IA
B
TD PRIVATE CLIENT WEALTH LLCCRD#: 164484 336 Route 70 East
2nd Floor
Marlton, NJ 08053
2nd Floor
Marlton, NJ 08053
View By:
4/30/2014
Customer Dispute
Denied
State Registrations
B
Arizona 3/5/2024
B
New Jersey 12/4/2015
IA
Arizona 3/25/2024
IA
New Jersey 12/4/2015
B
California 3/11/2020
B
New York 12/11/2015
IA
California 3/11/2020
IA
New York 8/19/2021
B
Colorado 3/5/2024
B
Ohio 8/9/2023
IA
Colorado 3/5/2024
IA
Ohio 8/9/2023
B
Delaware 1/30/2019
B
Pennsylvania 12/4/2015
IA
Delaware 2/3/2019
IA
Pennsylvania 12/4/2015
B
Florida 3/15/2016
B
South Carolina 1/30/2019
IA
Florida 3/15/2016
IA
South Carolina 1/31/2019
B
Massachusetts 10/6/2022
B
Texas 2/5/2025
IA
Massachusetts 10/12/2022
IA
Texas 2/6/2025
SRO Registrations
B
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IA
Registered with this firm since 12/4/2015
B
Registered with this firm since 12/4/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/17/2012 - 11/19/2015 | PHILADELPHIA, PA | |
B | 08/21/2012 - 11/19/2015 | PHILADELPHIA, PA | |
B | 12/05/2000 - 07/24/2012 | CINNAMINSON, NJ |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.