Mona Yasmeen Rahman
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.
Mona Yasmeen Rahman, who also goes by Christine Wallace Rahman N/a, M Yasmeen W Rahman, Dawn Christine Wallace N/a, was a registered financial professional .
Mona Yasmeen is a previously registered financial professional and started their career in finance in 2014. Mona Yasmeen had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2019 - September 25, 2019
PACTOLUS
March 14, 2019 - September 25, 2019
PACTOLUS CAPITAL PARTNERS
July 3, 2018 - November 15, 2018
SPIRE WEALTH MANAGEMENT, LLC
July 3, 2018 - November 15, 2018
SPIRE SECURITIES, LLC
June 23, 2017 - December 12, 2017
MML INVESTORS SERVICES, LLC
June 19, 2017 - December 12, 2017
MML INVESTORS SERVICES, LLC
March 10, 2017 - May 18, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 7, 2017 - May 18, 2017
TD AMERITRADE, INC.
March 7, 2017 - May 18, 2017
TD AMERITRADE, INC.
August 23, 2016 - February 9, 2017
MML INVESTORS SERVICES, LLC
August 4, 2016 - February 9, 2017
MML INVESTORS SERVICES, LLC
April 22, 2015 - December 2, 2015
CAPITAL ONE INVESTING, LLC
May 14, 2014 - June 5, 2014
TRUIST INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
PACTOLUS
CRD#: 155195 / SEC#: 801-71915
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PACTOLUS
CRD#: 155195 / SEC#: 801-71915
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 315 |
| AUM (Assets Under Management) | $ 182,552,022 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 11/22/2024 | ||
| 10/27/2023 | ||
| 11/22/2022 |
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.
