Catalina Alexander
Professional summary
Catalina Alexander, who also goes by Cathy Alexander, Catalina Cortes, Cathy Cortes, Catalina Penuela, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Coral Gables, Florida.
Catalina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Catalina has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Catalina Alexander's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Catalina Alexander's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 15, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 255 Alhambra Circle, Coral Gables, FL 33134September 14, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 255 Alhambra Circle, Coral Gables, FL 33134December 22, 2022 - September 9, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 20, 2022 - September 9, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 24, 2013 - April 25, 2022
TD PRIVATE CLIENT WEALTH LLC
February 28, 2013 - April 25, 2022
TD PRIVATE CLIENT WEALTH LLC
July 17, 2009 - November 12, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
July 14, 2009 - November 12, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
October 30, 2007 - February 20, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 29, 2007 - February 20, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 5, 2006 - October 31, 2007
TRUIST INVESTMENT SERVICES, INC.
May 24, 2004 - October 31, 2007
TRUIST INVESTMENT SERVICES, INC.
January 1, 2001 - March 27, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/15/2023)
(9/15/2023)
(9/14/2023)
(9/15/2023)
(9/15/2023)
(9/15/2023)
(9/15/2023)
(9/15/2023)
(9/15/2023)
(9/15/2023)
(4/10/2025)
(4/14/2025)
Exams
FINRA
Current Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
Company Information
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484Coral Gables, FL 33134TRUST BUT VERIFY
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