Pallavi Srivastava

TOLLESON PRIVATE WEALTH MANAGEMENT

Dallas, TX 75205

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CRD#: 5942984

Professional summary

Pallavi Srivastava is a registered financial advisor currently at TOLLESON PRIVATE WEALTH MANAGEMENT located in Dallas, Texas.

Pallavi is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Pallavi has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Pallavi Srivastava's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 7, 2024 - Present

TOLLESON PRIVATE WEALTH MANAGEMENT

Office #1: 5500 Preston Road Suite 250, Dallas, TX 75205

RIA

CRD#: 111838

Dallas, TX

Past

July 15, 2021 - January 19, 2022

VIEW CAPITAL RIA, LP

RIA

CRD#: 130678

DALLAS, TX

Past

March 9, 2018 - June 4, 2020

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

TOWSON, MD

Past

February 7, 2018 - June 4, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

TOWSON, MD

Past

July 5, 2017 - January 30, 2018

OSAIC FA, INC.

CRD#: 3978

HUNT VALLEY, MD

Past

July 6, 2012 - January 7, 2013

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ROCHESTER, NY

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".

TOLLESON PRIVATE WEALTH MANAGEMENT

THE TOLLESON GROUP, LP | TTG FINANCIAL ADVISORS LP | TOLLESON PRIVATE WEALTH MANAGEMENT, LP | TOLLESON PRIVATE WEALTH MANAGEMENT

CRD#: 111838 / SEC#: 801-57641

RIA

Registered Investment Advisory firm - (5/26/2000 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Texas
(10/7/2024)

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: 3/7/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/5/2017

General Securities Representative Examination

Current Firm

TOLLESON PRIVATE WEALTH MANAGEMENT

THE TOLLESON GROUP, LP | TTG FINANCIAL ADVISORS LP | TOLLESON PRIVATE WEALTH MANAGEMENT, LP | TOLLESON PRIVATE WEALTH MANAGEMENT

CRD#: 111838 / SEC#: 801-57641

RIA

Registered Investment Advisory firm - (5/26/2000 Approved)

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Contact information

Main Address

5500 Preston Road Suite 250, Dallas, TX 75205

Mailing Address

Phone number

(214) 252-3250

Established

Firm type

Fiscal year end

# of Employees

102

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TOLLESON PRIVATE WEALTH MANAGEMENT JUNE 30, 2025 ADV PART 2A (6/30/2025)

Regulatory assets under management

Total Number of Accounts	3,985
AUM (Assets Under Management)	$ 8,759,140,273

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/26/2025	Cover Page	Report
12/29/2024	Cover Page	Report
03/01/2024	Cover Page	Report
01/26/2024	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.

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Pallavi Srivastava

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Pallavi Srivastava's CRS (Customer Relationship Summary).

Certified licenses

Experience

VIEW CAPITAL RIA, LP

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

OSAIC FA, INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

TOLLESON PRIVATE WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 3/7/2018

SIE

Date: 10/1/2018

Series 7

Date: 7/5/2017

Current Firm

TOLLESON PRIVATE WEALTH MANAGEMENT

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TOLLESON PRIVATE WEALTH MANAGEMENT

TRUST BUT VERIFY

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