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TANIA MARCIA VASQUEZ

TANIA M. VASQUEZ

CRD#: 5549888
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TANIA MARCIA VASQUEZ
TANIA MARCIA VASQUEZ

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.

TANIA MARCIA VASQUEZ, who also goes by Tania M Vasquez, was a registered financial professional .

TANIA is a previously registered financial professional and started their career in finance in 2008. TANIA had worked at 2 firms and has passed the Series 66 and Series 7 exams.

Biography

Tania is a Principal in the Orange County office and has over fifteen years of experience in the financial services industry. She is a member of the Investment Advisory practice, Central Operations team, and a member of the 401K Sub-Committee. Prior to joining Cerity Partners, Tania worked for Bank of America Private Wealth Management as a Senior Clerical Specialist. She was a Portfolio Assistant with Deutsche Bank Private Wealth Management, eventually becoming an Assistant Vice President. As a Portfolio Assistant, Tania supported Wealth Advisors in the management of high net worth client investment portfolios, implemented equity, fixed income, mutual fund trading and ensured proper settlement. She was also a Relationship Coordinator where she assisted Private Bankers in building investment proposals for client and prospective client meetings, opened new client accounts and addressed client requests and inquiries. In addition, she spent some time working in Business Risk ensuring compliance with the Patriot Act, analyzing and reviewing all new client profiles to fulfill Know Your Client (KYC) and Anti-Money Laundering (AML) Business Risk requirements.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tania M Vasquez

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

Education

Pepperdine University

B.S. - Management

Experience

Past

December 2, 2013 - December 31, 2025

CERITY PARTNERS LLC

RIA
CRD#: 151559
COSTA MESA, CA
Past

October 14, 2008 - April 12, 2012

DEUTSCHE BANK SECURITIES INC.

RIA
CRD#: 2525
COSTA MESA, CA
Past

August 19, 2008 - April 12, 2012

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
COSTA MESA, CA

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".
CP
CERITY PARTNERS LLC
CERITY PARTNERS | MILSTEIN ADVISORS LLC | HPM PARTNERS SFO ALLIANCE | HPM PARTNERS LLC | CERITY PARTNERS LLC

CRD#: 151559 / SEC#: 801-70719

RIA
Registered Investment Advisory firm - (10/22/2009 Approved)

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/8/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/18/2008
General Securities Representative Examination

Current Firm

CP
CERITY PARTNERS LLC
CERITY PARTNERS | MILSTEIN ADVISORS LLC | HPM PARTNERS SFO ALLIANCE | HPM PARTNERS LLC | CERITY PARTNERS LLC

CRD#: 151559 / SEC#: 801-70719

RIA
Registered Investment Advisory firm - (10/22/2009 Approved)
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Contact information

Main Address
99 Park Avenue 16th Floor, New York, NY 10016
Mailing Address
Phone number
(212) 850-4260
Established
Firm type
Fiscal year end
# of Employees
1,166

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CP ADV PART 2A (9/18/2025)

Regulatory assets under management

Total Number of Accounts19,810
AUM (Assets Under Management)$ 122,848,693,051

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/23/2025
Cover Page
Report
07/24/2024
Cover Page
Report
09/28/2023
Cover Page
Report

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

CERITY PARTNERS LLC

PRINCIPALCRD#: 151559

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