RP
Rosa M. Pachon
TD PRIVATE CLIENT WEALTH LLC
Coral Gables, FL 33134
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CRD#: 4445324
RP
Professional summary
Rosa Maria Pachon, who also goes by Rosie Pachon, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Coral Gables, Florida.
Rosa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Rosa has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rosie Pachon
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.
Rental Property 2333 Brickell Ave #407 Miami FL 33129 Landlord $1900/ month Started in 2003
CRS (Client Relationship Summary) - RIA
Click below to view Rosa Maria Pachon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rosa Maria Pachon'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®
NoneExperience
Current
April 23, 2013 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 255 Alhambra Circle, Coral Gables, FL 33134RIA
BD
CRD#: 164484
Coral Gables, FL
Current
February 28, 2013 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 255 Alhambra Circle, Coral Gables, FL 33134RIA
BD
CRD#: 164484
Coral Gables, FL
Past
March 4, 2008 - June 18, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
SURFSIDE, FL
Past
March 4, 2008 - June 18, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
SURFSIDE, FL
Past
November 29, 2004 - March 4, 2008
IFMG SECURITIES, INC.
RIA
CRD#: 14416
CORAL GABLES, FL
Past
November 19, 2004 - March 4, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
CORAL GABLES, FL
Past
October 11, 2001 - October 12, 2004
SOUTHTRUST SECURITIES, LLC
RIA
CRD#: 17922
MIAMI, FL
Past
October 10, 2001 - October 12, 2004
SOUTHTRUST SECURITIES, LLC
BD
CRD#: 17922
BIRMINGHAM, AL
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".
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.RR
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
RR
California(9/29/2016)
IAR
California(9/29/2016)
RR
Colorado(2/10/2020)
IAR
Colorado(2/10/2020)
RR
Connecticut(4/24/2013)
IAR
Connecticut(5/3/2013)
RR
Delaware(4/24/2013)
IAR
Delaware(4/24/2013)
RR
Florida(5/6/2013)
IAR
Florida(5/6/2013)
RR
Georgia(4/23/2013)
IAR
Georgia(4/23/2013)
RR
Maine(4/24/2013)
IAR
Maine(4/24/2013)
RR
Maryland(5/3/2013)
IAR
Maryland(5/7/2013)
RR
Massachusetts(4/25/2013)
IAR
Massachusetts(4/29/2013)
RR
Nevada(9/14/2022)
IAR
Nevada(9/14/2022)
RR
New Hampshire(4/29/2013)
IAR
New Hampshire(4/29/2013)
RR
New Jersey(5/24/2013)
IAR
New Jersey(5/24/2013)
RR
New York(5/16/2013)
IAR
New York(8/19/2021)
RR
North Carolina(4/24/2013)
IAR
North Carolina(4/24/2013)
RR
Pennsylvania(4/24/2013)
IAR
Pennsylvania(4/25/2013)
RR
Rhode Island(4/24/2013)
IAR
Rhode Island(4/24/2013)
RR
South Carolina(5/20/2013)
IAR
South Carolina(5/20/2013)
IAR
Vermont(4/26/2013)
RR
Vermont(5/6/2013)
RR
Virginia(4/23/2013)
IAR
Virginia(4/23/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017
Mailing Address
1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017
Phone number
(877) 703-9896
Established
Delaware since 07/13/2012
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
662
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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