Rosemary S. Wright

WHITWELL ADVISORS

Bee Cave, TX

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CRD#: 1728693

Professional summary

Rosemary Soto Wright, CFP®, who also goes by Rosemary L Soto, is a registered financial advisor currently at WHITWELL ADVISORS located in Bee Cave, Texas.

Rosemary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Rosemary has worked at 12 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rosemary L Soto

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. Membership Director; Lantana Ladies Leagues; Investment Related: No; Location: Lantana Texas 76226; Description of the business: 501(c)(3) organization; Start date with business: 2020-06-01; Hours devoted to business outside trading hours: 2;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rosemary Soto Wright's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

CRD#: 16441

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WHITWELL ADVISORS

WHITWELL & CO, LLC | WHITWELL ADVISORS

CRD#: 331958 / SEC#: 801-131151

RIA

Registered Investment Advisory firm - (11/5/2024 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(1/6/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/22/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/6/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/19/1987

General Securities Representative Examination

Current Firm

WHITWELL ADVISORS

WHITWELL & CO, LLC | WHITWELL ADVISORS

CRD#: 331958 / SEC#: 801-131151

RIA

Registered Investment Advisory firm - (11/5/2024 Approved)

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Contact information

Main Address

Bee Cave, TX

Mailing Address

15511 State Hwy 71, Suite 110-526, Austin, TX 78738

Phone number

(512) 766-7775

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WHITWELL & CO - ADV 2A BROCHURE MAY 2025 (5/26/2025)

Regulatory assets under management

Total Number of Accounts	460
AUM (Assets Under Management)	$ 112,624,132

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Rosemary S. Wright

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rosemary Soto Wright's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMPOUND PLANNING, INC.

BELPOINTE ASSET MANAGEMENT LLC

NATIONAL WEALTH PARTNERS LLC

PIASCIK ADVISORS, INC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

INVEST FINANCIAL CORPORATION

COMPULIFE INVESTOR SERVICES, INC.

MML INVESTORS SERVICES, LLC

BANC OF AMERICA SECURITIES LLC

SOVRAN INVESTMENT CORPORATION

Primary Firm SEC Registration

WHITWELL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/1998

Series 63

Date: 11/6/1987

Series 7

Date: 9/19/1987

Current Firm

WHITWELL ADVISORS

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WHITWELL ADVISORS

TRUST BUT VERIFY

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