Tony Pico

PICO ASSOCIATES

Oakland, CA 94601

Some features on this profile are disabled

CRD#: 2888489

Professional summary

Tony Pico is a registered financial advisor currently at PICO ASSOCIATES located in Oakland, California.

Tony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Tony has worked at 2 firms and has passed the Series 7 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tony Pico's 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®

None

Experience

Current

June 22, 2020 - Present

PICO ASSOCIATES

Office #1: 829 27th Avenue 2nd Floor, Oakland, CA 94601

RIA

CRD#: 136611

Oakland, CA

Past

March 3, 2003 - January 19, 2006

WASI

RIA

CRD#: 131689

SAN FRANCISCO, CA

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

California
(6/22/2020)

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

General Industry/Product Exam

Series 7

Date: 5/16/1997

General Securities Representative Examination

Current Firm

PICO ASSOCIATES

PICO ASSOCIATES | TONY TADASHI PICO

CRD#: 136611 / SEC#:

California

Registered Investment Advisory firm - (12/15/2005 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

829 27th Avenue 2nd Floor, Oakland, CA 94601

Mailing Address

875-a Island Drive #300, Alameda, CA 94502

Phone number

(510) 261-0700

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	30
AUM (Assets Under Management)	$ 9,245,109

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.

Similar Advisors

John Israel

STRATEGIC ADVISERS LLC

IAR

SAN RAMON, CA

Jason Cooke

EDELMAN FINANCIAL ENGINES

IAR

DANVILLE, CA

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Tony Pico

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tony Pico's CRS (Customer Relationship Summary).

Certified licenses

Experience

PICO ASSOCIATES

WASI

State Registrations and Notice Filings

Exams

Series 7

Date: 5/16/1997

Current Firm

PICO ASSOCIATES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PICO ASSOCIATES

TRUST BUT VERIFY

Similar Advisors