PS
Paul Soto Mendoza
TD PRIVATE CLIENT WEALTH
St. Petersburg, FL 33703
Some features on this profile are disabled
CRD#: 7644634
PS
Professional summary
Paul Soto Mendoza, who also goes by Paul Sotomendoza, Paul Soto, Paul Santiago Soto-mendoza, Paul Soto-mendoza, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in St. Petersburg, Florida.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Paul has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul Sotomendoza | Paul Soto | Paul Santiago Soto-Mendoza | Paul Soto-Mendoza
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 Paul Soto Mendoza's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Soto Mendoza'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
April 11, 2025 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 3900 4th Street North, St. Petersburg, FL 33703RIA
BD
CRD#: 164484
St. Petersburg, FL
Current
April 11, 2025 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 3450 Clark Road, Sarasota, FL 34231RIA
BD
CRD#: 164484
Sarasota, FL
Past
October 10, 2024 - April 1, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LOUISVILLE, KY
Past
October 10, 2024 - April 1, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LOUISVILLE, KY
Past
June 24, 2024 - October 3, 2024
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
Louisville, KY
Past
October 16, 2023 - October 3, 2024
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
Louisville, KY
Past
November 15, 2022 - October 7, 2023
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
LOUISVILLE, KY
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
RR
Connecticut(5/13/2025)
IAR
Connecticut(5/13/2025)
RR
Delaware(5/13/2025)
IAR
Delaware(5/13/2025)
RR
Florida(5/13/2025)
IAR
Florida(5/14/2025)
RR
Maine(5/13/2025)
IAR
Maine(5/13/2025)
RR
Maryland(5/13/2025)
IAR
Maryland(5/13/2025)
RR
Massachusetts(7/9/2025)
IAR
Massachusetts(7/10/2025)
RR
New Hampshire(5/13/2025)
IAR
New Hampshire(5/13/2025)
RR
New Jersey(5/13/2025)
IAR
New Jersey(5/13/2025)
RR
New York(5/13/2025)
IAR
New York(5/13/2025)
RR
North Carolina(5/13/2025)
IAR
North Carolina(5/13/2025)
RR
Pennsylvania(5/13/2025)
IAR
Pennsylvania(5/13/2025)
RR
Rhode Island(5/13/2025)
IAR
Rhode Island(5/13/2025)
RR
South Carolina(4/11/2025)
IAR
South Carolina(4/11/2025)
RR
Texas(9/11/2025)
IAR
Texas(9/11/2025)
RR
Vermont(5/13/2025)
IAR
Vermont(5/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/8/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 11/15/2022
Investment Company Products/Variable Contracts 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)
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
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
671
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 25,697 |
| AUM (Assets Under Management) | $ 8,255,945,350 |
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 |
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.
