Dalia L. Parchmon

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CRD#: 4808417

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.

Dalia L Parchmon, who also goes by Dalia Lopez, Dalia L Parchmon, Dalia Lopez Parchmon, was a registered financial professional .

Dalia is a previously registered financial professional and started their career in finance in 2004. Dalia had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dalia Lopez | Dalia L Parchmon | Dalia Lopez Parchmon

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

February 26, 2020 - November 11, 2020

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356

Tampa, FL

Past

February 26, 2020 - September 4, 2024

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

TAMPA, FL

Past

June 20, 2018 - August 8, 2019

PRINCIPAL SECURITIES, INC.

CRD#: 1137

Tampa, FL

Past

May 25, 2017 - August 25, 2017

PRUCO SECURITIES, LLC.

CRD#: 5685

TAMPA, FL

Past

September 17, 2013 - June 4, 2015

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

TAMPA, FL

Past

August 13, 2007 - November 29, 2012

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

TAMPA, FL

Past

October 28, 2004 - January 8, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

TAMPA, FL

Past

October 28, 2004 - January 8, 2007

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

TAMPA, FL

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".

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356 / SEC#: 801-21317, 8-32139

RIA

Registered Investment Advisory firm - SEC (6/1/1984 Approved)

Terminated by SEC on 11/30/2020

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

Series 63

Date: 6/9/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/25/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356 / SEC#: 801-21317, 8-32139

RIA

Registered Investment Advisory firm - SEC (6/1/1984 Approved)

Terminated by SEC on 11/30/2020

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Contact information

Main Address

320 Park Avenue, New York, NY 10022-6839

Mailing Address

Phone number

(212) 224-1600

Established

New York since 01/03/1945

Firm type

Corporation

Fiscal year end

December

# of Employees

753

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LU, KATHRYN ANNE	EXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	5605579

Regulatory assets under management

Total Number of Accounts	22
AUM (Assets Under Management)	$ 335,621,798

Disclosures

Regulatory Event

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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Firm Stability Insights

Dalia L. Parchmon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MUTUAL OF AMERICA SECURITIES LLC

PRINCIPAL SECURITIES, INC.

PRUCO SECURITIES, LLC.

VALIC FINANCIAL ADVISORS, INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 6/9/2008

SIE

Date: 10/1/2018

Series 6

Date: 10/25/2004

Current Firm

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

Contact information

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

TRUST BUT VERIFY

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