Enzo Pellegrino has been Chief Compliance Officer of TLWM since October 2011, is a control person of the firm and directly owns under 5% of it.
TLWM, LLC is a San Antonio, TX firm with $605M under management, 1,262 clients and 9 advisers across 5 offices, as of its March 2026 filing.
Enzo Pellegrino’s longest registration is the current one, 14 years at TLWM since 2011. Before joining TLWM in 2011, Enzo Pellegrino was registered through LPL Financial LLC and Raymond James Financial Services.
- TLWM FinancialCurrent– present · 14 yearsSan Antonio, TX · Adviser representative · Firm CRD 158305
- LPL Financial LLC– · 7 yearsSan Antonio, TX · Adviser representative · Firm CRD 6413
- Raymond James Financial Services– · under a yearSan Antonio , TX · Adviser representative · Firm CRD 6694
Investment adviser representative registrations
Enzo Pellegrino is registered as an investment adviser representative in 6 states. The first approvals date from November 2011; the most recent is Maine, in July 2024.
- CaliforniaSince 24 September 2015
- FloridaSince 25 August 2021
- MaineSince 12 July 2024
- New YorkSince 27 September 2023
- TexasSince 1 November 2011
- VirginiaSince 13 July 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 3 October 2005 |
| Series 66 | Uniform Combined State Law Examination | 12 May 2005 |
| Series 63 | Uniform Securities Agent State Law Examination | 31 May 2001 |
| Series 7 | General Securities Representative Examination | 24 May 2001 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Enzo Thomas Pellegrino
- CRD
- 4392184
- Firm
- TLWM · CRD 158305
- Role
- Chief Compliance Officer
- Office
- 40 NE LOOP 410, SUITE 644, San Antonio, TX 78216
- Registration
- Investment adviser and broker registrations
- In the industry since
- May 2001
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Enzo Pellegrino work?
Enzo Pellegrino has been Chief Compliance Officer of TLWM, LLC since October 2011, and is a control person of the firm.
Is Enzo Pellegrino a financial advisor?
Yes. Enzo Pellegrino has a current investment-adviser registration in California, Florida, Maine, New York, Texas and Virginia, through TLWM since November 2011.
How many years of experience does Enzo Pellegrino have?
Enzo Pellegrino has 25 years in the financial industry, since May 2001, across 3 adviser firms.
What exams has Enzo Pellegrino passed?
Enzo Pellegrino has passed 4 licensing exams: the Series 7, Series 63, Series 66 and Series 24. The earliest, the Series 7, was passed in May 2001. FINRA credited Enzo Pellegrino with the SIE, which began in October 2018.
Where did Enzo Pellegrino work before TLWM?
Before TLWM, Enzo Pellegrino was registered through Raymond James Financial Services, May 2005 to August 2005.
Where is Enzo Pellegrino based?
Enzo Pellegrino’s registered office is in San Antonio, TX.
Is Enzo Pellegrino registered with FINRA?
Yes. Enzo Pellegrino has a current broker registration, under CRD 4392184.
Source: FINRA BrokerCheck
How can I verify Enzo Pellegrino’s record?
Search CRD 4392184 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Enzo Pellegrino’s full registration record.