FA
Francisco M. Avalle
TD PRIVATE CLIENT WEALTH LLC
Coral Gables, FL 33134
Some features on this profile are disabled
CRD#: 4999337
FA
Professional summary
Francisco Martin Avalle, who also goes by Francisco Avalle, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Coral Gables, Florida.
Francisco is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Francisco has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Francisco Avalle
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; INV. RELATED; MIAMI,FL; 100% OWNERSHIP WITH SPOUSE; START DATE 01/01/2019; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; OWNER.
CRS (Client Relationship Summary) - RIA
Click below to view Francisco Martin Avalle's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Francisco Martin Avalle'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
June 14, 2022 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 255 Alhambra Circle, Coral Gables, FL 33134RIA
BD
CRD#: 164484
Coral Gables, FL
Current
June 13, 2022 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 255 Alhambra Circle, Coral Gables, FL 33134RIA
BD
CRD#: 164484
Coral Gables, FL
Past
July 26, 2017 - June 14, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MIAMI, FL
Past
June 17, 2017 - June 14, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MIAMI, FL
Past
May 24, 2011 - September 28, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MIAMI, FL
Past
December 23, 2010 - September 28, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MIAMI, FL
Past
July 21, 2009 - March 11, 2010
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
MIAMI, FL
Past
October 22, 2008 - July 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CORAL GABLES, 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".
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
Arizona(11/28/2022)
IAR
Arizona(12/16/2022)
RR
California(11/28/2022)
IAR
California(11/28/2022)
RR
Colorado(6/10/2025)
IAR
Colorado(6/10/2025)
RR
Delaware(7/2/2025)
IAR
Delaware(7/3/2025)
RR
Florida(6/13/2022)
IAR
Florida(6/14/2022)
RR
Georgia(11/28/2022)
IAR
Georgia(11/30/2022)
RR
Illinois(7/2/2025)
IAR
Illinois(7/3/2025)
RR
Kansas(7/19/2024)
IAR
Kansas(7/19/2024)
RR
Kentucky(5/29/2025)
IAR
Kentucky(6/2/2025)
RR
Massachusetts(5/29/2025)
IAR
Massachusetts(6/5/2025)
RR
Missouri(7/19/2024)
IAR
Missouri(7/19/2024)
RR
Nevada(12/6/2022)
IAR
Nevada(12/13/2022)
RR
New Jersey(11/28/2022)
IAR
New Jersey(11/28/2022)
RR
New York(11/28/2022)
IAR
New York(11/29/2022)
RR
North Carolina(11/28/2022)
IAR
North Carolina(12/1/2022)
RR
Oregon(5/29/2025)
IAR
Oregon(6/2/2025)
RR
Tennessee(7/8/2025)
RR
Washington(6/10/2025)
IAR
Washington(6/11/2025)
RR
Wyoming(7/2/2025)
IAR
Wyoming(7/7/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
Monitor Francisco Avalle
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
