Clyde Jensen (CRD #: 5658476), a broker registered with TD Private Client Wealth LLC, is the subject of a Financial Industry Regulatory Authority (FINRA) investigation, according to his BrokerCheck record accessed on November 20, 2020. Mr. Jensen has several other disclosures on his securities license.
On October 28, 2020, FINRA made a preliminary determination to recommend that disciplinary action be brought against Mr. Jensen. The regulator alleges that Clyde Jensen circumvented his member firm’s procedures to be named a beneficiary of a customer’s trust. They further allege that he violated FINRA Rule 2010 when he submitted a false annual attestation to his member broker-dealer.
There are two civil judgments on Clyde Jensen’s record, totaling $192,483.21.
Clyde Jensen has passed the Series 66 Uniform Combined State Law Examination, the Securities Industry Essentials Examination, and the Series 7 General Securities Representative Examination. He is a registered broker and a registered investment adviser in Florida.
During his 11 years in the securities industry, he has worked at the following firms:
- Woodstock Wealth Management (CRD #: 283472)
- Woodstock Financial Group (CRD #: 38095)
- Ameriprise Financial Services (CRD #: 6363)
- Morgan Stanley (CRD #: 149777)
- Edward Jones (CRD #: 250)
If Clyde Jensen was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email firstname.lastname@example.org for your free case consultation with a securities attorney.