TD WATERHOUSE ADVISORY SERVICES, INC.
CRD #119006 SEC #801-60875 NEW YORK, NY 212-806-3500
SEC Registered
Total AUM
--
Discretionary
--
Employees
5
Clients
0
Accounts
--
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- OCTOBER
- Registration Date
- --
- Latest Filing
- Jan 16, 2004
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BRADLEY, JOHN, THOMAS | I | EXECUTIVE VICE PRESIDENT - SALES | NA | Control |
| NEIMAN, RICHARD, HOWARD | I | EVP, GENERAL COUNSEL, SECRETARY, DIRECTOR | NA | Control |
| PETRILLI, FRANK, JOSEPH | I | CHAIRMAN, DIRECTOR | NA | Control |
| STERNS, BRUCE, KEVIN | I | EVP, CHIEF FINANCIAL OFFICER, TREASURER, DIRECTOR | NA | Control |
| TD WATERHOUSE GROUP, INC. | DE | SHAREHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| THE TORONTO-DOMINION BANK | FE | TD WATERHOUSE GROUP, INC. | E | Control |
Registrations
Federal
IA
Jan 16, 2004 REGISTERED
Address
100 WALL STREETNEW YORK, NY 10005
USA
Phone: 212-806-3500