Vaughn Swartz

Vaughn Swartz is managing director and head of compliance for TD Securities. In this role, he serves as the chief compliance officer for the wholesale and institutional activities of TD in the United States. Prior to joining TD, Mr. Swartz was senior vice president and chief compliance officer for wholesale banking at PNC Financial Services Group. He has also served as a compliance officer in various capacities and locations for Wachovia, the Royal Bank of Canada, and Prudential Securities.