- TD Bank (Tampa, FL)
- …assists in the regulatory oversight for TD Private Client Wealth,(TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth ... and trades executed in the TDPCW Broker Dealer and Registered Investment Advisor, as well as our fixed annuity...adherence to all applicable FINRA and SEC rules regarding client accounts including Regulation Best Interest and FINRA suitability… more