Stefan A. Pastor

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CRD#: 5141819

Professional summary

Stefan Anton Pastor was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Stefan is a previously registered financial professional and started their career in finance in 2006. Prior to being barred, Stefan had worked at 6 firms, which includes AZZENDO WEALTH ADVISORS, RAYMOND JAMES FINANCIAL SERVICES ADVISORS INC, RAYMOND JAMES FINANCIAL SERVICES INC., PROVENANCE WEALTH ADVISORS, WALNUT STREET SECURITIES INC., AMERIPRISE FINANCIAL SERVICES LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

June 5, 2018 - November 20, 2018

AZZENDO WEALTH ADVISORS

RIA

CRD#: 145919

CORAL GABLES, FL

Past

September 11, 2013 - April 26, 2018

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

FORT LAUDERDALE, FL

Past

August 30, 2013 - April 26, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

FT. LAUDERDALE, FL

Past

March 16, 2011 - May 10, 2018

PROVENANCE WEALTH ADVISORS

RIA

CRD#: 126529

FORT LAUDERDALE, FL

Past

January 14, 2011 - September 3, 2013

WALNUT STREET SECURITIES, INC.

RIA

CRD#: 15840

FORT LAUDERDALE, FL

Past

January 8, 2011 - September 3, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

FORT LAUDERDALE, FL

Past

September 8, 2006 - January 11, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

PLANTATION, FL

Past

September 7, 2006 - January 11, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

PLANTATION, 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".

AZZENDO WEALTH ADVISORS

AZZENDO WEALTH ADVISORS | CATHY PARETO AND ASSOCIATES, INC. | CATHY PARETO AND ASSOCIATES

CRD#: 145919 / SEC#: 801-110395

RIA

Registered Investment Advisory firm - (4/13/2017 Approved)

Florida

Registered Investment Advisory firm - (4/14/2017 Terminated)

Texas

Registered Investment Advisory firm - (4/14/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

IAR

Series 66

Date: 8/17/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/26/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/6/2006

General Securities Representative Examination

Current Firm

AZZENDO WEALTH ADVISORS

AZZENDO WEALTH ADVISORS | CATHY PARETO AND ASSOCIATES, INC. | CATHY PARETO AND ASSOCIATES

CRD#: 145919 / SEC#: 801-110395

RIA

Registered Investment Advisory firm - (4/13/2017 Approved)

Florida

Registered Investment Advisory firm - (4/14/2017 Terminated)

Texas

Registered Investment Advisory firm - (4/14/2017 Terminated)

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Contact information

Main Address

901 Ponce De Leon Blvd. Suite 501, Coral Gables, FL 33134

Mailing Address

Phone number

(305) 648-9814

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CATHY PARETO & ASSOCIATES, INC. ADV PART 2A BROCUHRE (2/11/2025)

Regulatory assets under management

Total Number of Accounts	587
AUM (Assets Under Management)	$ 268,013,075

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

Stefan A. Pastor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

PROVENANCE WEALTH ADVISORS

WALNUT STREET SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

AZZENDO WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 8/17/2006

SIE

Date: 4/26/2018

Series 7

Date: 9/6/2006

Current Firm

AZZENDO WEALTH ADVISORS

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AZZENDO WEALTH ADVISORS

TRUST BUT VERIFY

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