Marie Antonette C. Pastor

Some features on this profile are disabled

CRD#: 2988257

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Marie Antonette Castillano Pastor, who also goes by Marie Antonette Mandapat Castillano, Marie Antonette Mandapat Pastor, was a registered financial professional .

Marie Antonette is a previously registered financial professional and started their career in finance in 1999. Marie Antonette had worked at 11 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Marie Antonette Mandapat Castillano | Marie Antonette Mandapat Pastor

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 31, 2020 - August 11, 2021

TAVERIK CAPITAL, LLC

RIA

CRD#: 156594

SAN LEANDRO, CA

Past

December 12, 2011 - January 30, 2013

SANDLAPPER SECURITIES, LLC

CRD#: 137906

SIMPSONVILLE, SC

Past

March 24, 2010 - December 5, 2011

MATRIX CAPITAL GROUP, INC.

CRD#: 33364

SIMPSONVILLE, SC

Past

June 13, 2005 - March 24, 2010

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

February 1, 2005 - June 13, 2005

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

July 1, 2003 - November 30, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

May 20, 2003 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 1, 2002 - May 16, 2003

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

JERSEY CITY, NJ

Past

April 12, 2000 - October 8, 2001

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

February 25, 2000 - April 14, 2000

J.P. MORGAN CLEARING CORP.

CRD#: 28432

BROOKLYN, NY

Past

February 25, 2000 - April 14, 2000

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

August 18, 1999 - November 2, 1999

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

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".

TAVERIK CAPITAL, LLC

TAVERIK CAPITAL, LLC | WEIR CAPITAL MANAGEMENT | WCM GLOBAL WEALTH, LLC | WCM GLOBAL WEALTH

CRD#: 156594 / SEC#: 801-117029

RIA

Registered Investment Advisory firm - (7/25/2019 Approved)

Alaska

Registered Investment Advisory firm - (9/16/2019 Terminated)

California

Registered Investment Advisory firm - (10/16/2019 Terminated)

Georgia

Registered Investment Advisory firm - (10/31/2019 Terminated)

South Carolina

Registered Investment Advisory firm - (9/16/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/31/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/31/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/13/1999

General Securities Representative Examination

Current Firm

TAVERIK CAPITAL, LLC

TAVERIK CAPITAL, LLC | WEIR CAPITAL MANAGEMENT | WCM GLOBAL WEALTH, LLC | WCM GLOBAL WEALTH

CRD#: 156594 / SEC#: 801-117029

RIA

Registered Investment Advisory firm - (7/25/2019 Approved)

Alaska

Registered Investment Advisory firm - (9/16/2019 Terminated)

California

Registered Investment Advisory firm - (10/16/2019 Terminated)

Georgia

Registered Investment Advisory firm - (10/31/2019 Terminated)

South Carolina

Registered Investment Advisory firm - (9/16/2019 Terminated)

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

201 Riverplace Suite 500, Greenville, SC 29601

Mailing Address

Phone number

(864) 967-9838

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WCM GLOBAL WEALTH, LLC - PART 2A (6/4/2025)

Regulatory assets under management

Total Number of Accounts	379
AUM (Assets Under Management)	$ 104,247,785

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Marie Antonette C. Pastor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SANDLAPPER SECURITIES, LLC

MATRIX CAPITAL GROUP, INC.

FIRST ALLIED SECURITIES, INC.

ROUND HILL SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

NYLIFE DISTRIBUTORS LLC

ROUND HILL SECURITIES, INC.

J.P. MORGAN CLEARING CORP.

J.P. MORGAN SECURITIES LLC

PERSHING LLC

Primary Firm SEC Registration

TAVERIK CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/31/2020

Series 63

Date: 12/31/2002

Series 7

Date: 8/13/1999

Current Firm

TAVERIK CAPITAL, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TAVERIK CAPITAL, LLC

TRUST BUT VERIFY

Similar Advisors