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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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RD

Rebecca R. Desoto

MAIA WEALTH
DENVER, CO 80202
Some features on this profile are disabled
CRD#: 6436513
RD

Professional summary

Rebecca Rose Desoto, who also goes by Rebecca Rose Desoto, Rebecca Rose Schwab, is a registered financial advisor currently at MAIA WEALTH located in Denver, Colorado.

Rebecca is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Rebecca has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Rebecca Rose Desoto | Rebecca Rose Schwab

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 Rebecca Rose Desoto'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

August 30, 2023 - Present

MAIA WEALTH

Office #1: 1331 17th Street Suite 800, Denver, CO 80202
RIA
CRD#: 292817
DENVER, CO
Past

February 28, 2018 - December 14, 2021

LPL FINANCIAL LLC

BD
CRD#: 6413
DENVER, CO
Past

March 24, 2016 - August 30, 2023

TRILOGY CAPITAL, INC.

RIA
CRD#: 281597
Denver, CO
Past

November 17, 2015 - March 23, 2017

NATIONAL PLANNING CORPORATION

RIA
CRD#: 29604
DENVER, CO
Past

October 8, 2015 - March 23, 2017

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
DENVER, CO

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".
MW
MAIA WEALTH
COOKIE WEALTH | WHITE BISON WEALTH MANAGEMENT, LLC | SILVEROAK | PHYXIUS FINANCIAL | PATHWAY ADVISORS GROUP | MIEDEMA WEALTH | MANA FINANCIAL GROUP | MAIA WEALTH, LLC | MAIA WEALTH | INTEGRATED FINANCIAL ARCHITECTS | HOFKIN CAPITAL MANAGEMENT

CRD#: 292817 / SEC#: 801-120452

RIA
Registered Investment Advisory firm - (3/5/2021 Approved)
California
Registered Investment Advisory firm - (6/6/2021 Terminated)
Colorado
Registered Investment Advisory firm - (5/7/2021 Terminated)
Texas
Registered Investment Advisory firm - (5/7/2021 Terminated)

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
Colorado
(8/30/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/9/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/8/2015
General Securities Representative Examination

Current Firm

MW
MAIA WEALTH
COOKIE WEALTH | WHITE BISON WEALTH MANAGEMENT, LLC | SILVEROAK | PHYXIUS FINANCIAL | PATHWAY ADVISORS GROUP | MIEDEMA WEALTH | MANA FINANCIAL GROUP | MAIA WEALTH, LLC | MAIA WEALTH | INTEGRATED FINANCIAL ARCHITECTS | HOFKIN CAPITAL MANAGEMENT

CRD#: 292817 / SEC#: 801-120452

RIA
Registered Investment Advisory firm - (3/5/2021 Approved)
California
Registered Investment Advisory firm - (6/6/2021 Terminated)
Colorado
Registered Investment Advisory firm - (5/7/2021 Terminated)
Texas
Registered Investment Advisory firm - (5/7/2021 Terminated)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1331 17th Street Suite 800, Denver, CO 80202
Mailing Address
Phone number
(720) 644-8803
Established
Firm type
Fiscal year end
# of Employees
43

SEC notice filing (41 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2A BROCHURE (2/27/2026)

Regulatory assets under management

Total Number of Accounts5,265
AUM (Assets Under Management)$ 973,037,361

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

MAIA WEALTH

CRD#: 292817Denver, CO 80202

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