Joseph Santos
Joseph Santos is a CFP-designated registered investment advisor at TD Private Client Wealth LLC, based in New York, NY, with 29 years of industry experience. Joseph operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 25,685 clients with $8.3B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
TD Private Client Wealth (TDPCW) offers investment management through various wrap fee programs. You'll pay a single fee that covers investment advice and the cost of trading. The fee is based on the amount of your investments, including cash. The specific fee you pay depends on the program you choose. TDPCW may offer discounts on fees at its discretion. The total fee may change over time due to changes in your account, such as the amount of assets, changes in investment managers, or investment performance.
Location
1 Vanderbilt Avenue, 23rd Floor, New York, NY, 10017
Get directionsHistory
Regulatory History (2)
Customer Dispute
March 2015Customer Dispute
April 2002Employment History
Current Registrations
TD Private Client Wealth LLCBroker
TD Private Client Wealth LLC
Previous Registrations
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
Banc of America Investment Services, INC.Broker
Banc of America Investment Services, INC.
Quick & Reilly, INC.
Quick & Reilly, INC.Broker
UBS Painewebber INC.Broker
State Registrations28 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.