OC
Osman Cardona Rosales
TD PRIVATE CLIENT WEALTH LLC
New York, NY 10075
Some features on this profile are disabled
CRD#: 7552583
OC
Professional summary
Osman Cardona Rosales, who also goes by Osman Cardonarosales, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in New York, New York.
Osman is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Osman has worked at 1 firm and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Osman Cardonarosales
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.
CRS (Client Relationship Summary) - RIA
Click below to view Osman Cardona Rosales's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Osman Cardona Rosales's 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®
NoneExperience
Current
June 7, 2022 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1470 2nd Ave, New York, NY 10075RIA
BD
CRD#: 164484
New York, NY
Current
May 5, 2025 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1 Vanderbilt Avenue 23rd Floor, New York, NY 10017RIA
BD
CRD#: 164484
New York, 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".
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Connecticut(6/7/2022)
RR
Connecticut(9/8/2025)
IAR
Delaware(9/13/2022)
RR
Delaware(9/8/2025)
IAR
Illinois(4/3/2025)
RR
Illinois(9/8/2025)
IAR
Maryland(9/13/2022)
RR
Maryland(9/8/2025)
IAR
Massachusetts(9/22/2022)
RR
Massachusetts(9/8/2025)
IAR
New Jersey(6/8/2022)
RR
New Jersey(9/8/2025)
IAR
New York(6/7/2022)
RR
New York(9/8/2025)
IAR
North Carolina(9/13/2022)
RR
North Carolina(9/8/2025)
IAR
Pennsylvania(9/13/2022)
RR
Pennsylvania(9/8/2025)
IAR
South Carolina(9/13/2022)
RR
South Carolina(9/8/2025)
IAR
Virginia(9/13/2022)
RR
Virginia(9/8/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/5/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017
Mailing Address
1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017
Phone number
(877) 703-9896
Established
Delaware since 07/13/2012
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
662
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
