Maria T. Aronoff

CITY NATIONAL ROCHDALE

San Francisco, CA 94105

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CRD#: 2998377

Professional summary

Maria Teresa Aronoff, who also goes by M Teresa Aronoff, M Teresa Barajas, Maria Teresa Barajas, Teresa Barajas Aronoff, M Teresa Barajas-aronoff, Maria Teresa Barajas-aronoff, M Teresa Barajasaronoff, Maria Teresa Barajasaronoff, is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in San Francisco, California and CNR SECURITIES, LLC located in San Francisco, California.

Maria is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Maria has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

EQIS Capital Management Inc. Advisor Consulting. 1000 4th Street, Suite 650 San Rafael, CA 94901. Full time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maria Teresa Aronoff'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®

None

Experience

Current

May 8, 2023 - Present

CITY NATIONAL ROCHDALE

Office #1: 455 Market St Ste 2000, San Francisco, CA 94105

RIA

CRD#: 117198

San Francisco, CA

Current

May 8, 2023 - Present

CNR SECURITIES, LLC

Office #1: 455 Market Street 20th Floor, San Francisco, CA 94105

CRD#: 18466

SAN FRANCISCO, CA

Past

January 14, 2021 - December 31, 2022

PORTSMOUTH FINANCIAL SERVICES

CRD#: 13980

SAN FRANCISCO, CA

Past

August 31, 2020 - August 21, 2023

FREEDOM INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 126052

SAN RAFAEL, CA

Past

July 1, 2016 - August 27, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MILL VALLEY, CA

Past

May 24, 2016 - August 27, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MILL VALLEY, CA

Past

October 4, 2001 - May 7, 2004

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

October 17, 2000 - October 4, 2001

FIRST FUND DISTRIBUTORS, INC.

CRD#: 27038

PHOENIX, AZ

Past

April 22, 1998 - October 12, 1999

HAMBRECHT & QUIST LLC

CRD#: 940

SAN FRANCISCO, CA

Past

January 22, 1998 - March 18, 1998

THE HERITAGE GROUP, INC.

CRD#: 24906

SAN FRANCISCO, CA

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".

CITY NATIONAL ROCHDALE

CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC

CRD#: 117198 / SEC#: 801-27265

RIA

Registered Investment Advisory firm - (6/20/1986 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alaska
(5/8/2023)

California
(5/8/2023)

IAR

California
(5/8/2023)

Hawaii
(5/8/2023)

Nevada
(5/8/2023)

Oregon
(5/8/2023)

Washington
(5/8/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/30/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/4/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/24/2016

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CITY NATIONAL ROCHDALE

CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC

CRD#: 117198 / SEC#: 801-27265

RIA

Registered Investment Advisory firm - (6/20/1986 Approved)

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Contact information

Main Address

400 Park Avenue 10th Floor, New York, NY 10022

Mailing Address

Phone number

(212) 702-3500

Established

Firm type

Fiscal year end

# of Employees

235

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CNR ADV PART 2A WRAP FEE BROCHURE - OCTOBER 28, 2025 (10/28/2025)

CNR ADV PART 2A BROCHURE - OCTOBER 28, 2025 (10/28/2025)

Regulatory assets under management

Total Number of Accounts	41,300
AUM (Assets Under Management)	$ 68,177,828,012

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	Cover Page	Report
10/27/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Maria T. Aronoff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maria Teresa Aronoff's CRS (Customer Relationship Summary).

Certified licenses

Experience

CNR SECURITIES, LLC

PORTSMOUTH FINANCIAL SERVICES

FREEDOM INVESTMENT MANAGEMENT, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

QUASAR DISTRIBUTORS, LLC

FIRST FUND DISTRIBUTORS, INC.

HAMBRECHT & QUIST LLC

THE HERITAGE GROUP, INC.

Primary Firm SEC Registration

CITY NATIONAL ROCHDALE

State Registrations and Notice Filings

Exams

Series 66

Date: 6/30/2016

Series 63

Date: 5/4/1998

SIE

Date: 10/1/2018

Series 7

Date: 5/24/2016

FINRA

Current Firm

CITY NATIONAL ROCHDALE

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CITY NATIONAL ROCHDALE

TRUST BUT VERIFY

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