Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
PEONY CHAN
CRD#: 6973416
IA
Investment Adviser
B
Previous Broker
TD PRIVATE CLIENT WEALTH LLCCRD#: 164484 1995 Broadway
New York, NY 10023
Registration History
201820192020202120222023202420252026IATD PRIVATE CLIENT WEALTH LLC (CRD# 164484)2022 - Present (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2019 - 2020 (<1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2018 - 2019 (1 year)
License(s)

State Registrations

IA
Connecticut 1/3/2023
IA
New York 8/10/2022
IA
Florida 10/20/2023
IA
Pennsylvania 1/3/2023
IA
New Jersey 1/3/2023
Current Registration(s)
IA
TD PRIVATE CLIENT WEALTH LLC (CRD#:164484)
1995 Broadway, New York, NY 10023
Registered with this firm since 8/10/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 10/29/2019 - 02/12/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 07/03/2018 - 10/30/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.