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Orlando Rosario

SEACREST WEALTH MANAGEMENT
DURHAM, NC
Some features on this profile are disabled
CRD#: 4292280
OR

Professional summary

Orlando Rosario, who also goes by Orlando James Rosario, is a registered financial advisor currently at SEACREST WEALTH MANAGEMENT, LLC located in Durham, North Carolina.

Orlando is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Orlando has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Orlando James Rosario

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 Orlando Rosario'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

April 15, 2024 - Present

SEACREST WEALTH MANAGEMENT, LLC

RIA
CRD#: 147092
DURHAM, NC
Past

November 30, 2021 - April 20, 2023

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

November 29, 2021 - April 20, 2023

EMPOWER ADVISORY GROUP, LLC

RIA
CRD#: 112058
DURHAM, NC
Past

July 13, 2018 - January 7, 2021

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
BOSTON, MA
Past

October 18, 2016 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
DURHAM, NC
Past

July 18, 2013 - January 6, 2021

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
DURHAM, NC
Past

November 2, 2011 - February 15, 2013

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
DURHAM, NC
Past

September 1, 2011 - February 15, 2013

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
DURHAM, NC
Past

September 17, 2007 - April 6, 2010

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
CARY, NC
Past

June 12, 2007 - September 6, 2007

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
CARY, NC
Past

January 26, 2001 - May 14, 2007

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
MERRIMACK, NH

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".
SW
SEACREST WEALTH MANAGEMENT, LLC
SEACREST WEALTH MANAGEMENT, LLC

CRD#: 147092 / SEC#: 801-69141

RIA
Registered Investment Advisory firm - (5/12/2008 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
North Carolina
(4/15/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/13/2016
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/9/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/25/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/22/2022
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/22/2022
General Securities Sales Supervisor - Options Module Examination

Current Firm

SW
SEACREST WEALTH MANAGEMENT, LLC
SEACREST WEALTH MANAGEMENT, LLC

CRD#: 147092 / SEC#: 801-69141

RIA
Registered Investment Advisory firm - (5/12/2008 Approved)
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Contact information

Main Address
3000 Westchester Avenue Suite 206, Purchase, NY 10577
Mailing Address
Phone number
(914) 502-1900
Established
Firm type
Fiscal year end
# of Employees
51

SEC notice filing (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SEACREST WEALTH MANAGEMENT, LLC DISCLOSURE BROCHURE (10/23/2025)

Regulatory assets under management

Total Number of Accounts3,945
AUM (Assets Under Management)$ 1,561,182,425

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

SEACREST WEALTH MANAGEMENT, LLC

CRD#: 147092Durham, NC

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