CA
Carlos R. Alvarado
HERBERT J. SIMS CAPITAL MANAGEMENT
Fairfield, CT 06824
Some features on this profile are disabled
CRD#: 1329628
CA
Professional summary
Carlos Ruben Alvarado, who also goes by Carlos Ruben Alvarado Torres, is a registered financial advisor currently at HERBERT J. SIMS CAPITAL MANAGEMENT, INC. located in Fairfield, Connecticut and HERBERT J. SIMS & CO, INC. located in Boca Raton, Florida.
Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Carlos has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carlos Ruben Alvarado Torres
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.
Carlos Alvarado is an investment adviser representative of HJ Sims Capital Management ("HJSCM"), a SEC registered investment advisor and wholly owned subsidiary of HJ Sims Co., Inc. HJSCM primarily provides customized investment management services to high-net-worth individuals and associated trusts, estates, pension and profit-sharing plans, and other legal entities. Carlos Alvarado began his association with HJSCM in 2016 and devotes approximately 20% of his time to HJSCM and 10% to insurance; however, Carlos Alvarado's primary business is providing brokerage services through the broker-dealer.
CRS (Client Relationship Summary) - RIA
Click below to view Carlos Ruben Alvarado'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 5, 2016 - Present
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
Office #1: 2150 Post Road Suite 301, Fairfield, CT 06824RIA
CRD#: 134510
Fairfield, CT
Current
March 28, 2016 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 2700 N. Military Trail #400, Boca Raton, FL 33431BD
CRD#: 3420
Boca Raton, FL
Past
March 23, 2010 - February 17, 2016
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
San Juan, PR
Past
February 28, 2000 - February 17, 2016
SANTANDER SECURITIES LLC
BD
CRD#: 41791
San Juan, PR
Past
January 30, 1985 - February 28, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
HJ
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
HERBERT J. SIM CAPITAL MANAGEMENT INC. | HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
CRD#: 134510 / SEC#: 801-124853
RIA
Registered Investment Advisory firm - (5/2/2022 Approved)Connecticut
Registered Investment Advisory firm - (6/1/2022 Terminated)Florida
Registered Investment Advisory firm - (5/17/2022 Terminated)Louisiana
Registered Investment Advisory firm - (3/12/2025 Terminated)Maryland
Registered Investment Advisory firm - (5/23/2022 Terminated)Minnesota
Registered Investment Advisory firm - (6/3/2022 Terminated)New Jersey
Registered Investment Advisory firm - (5/19/2022 Terminated)North Carolina
Registered Investment Advisory firm - (5/20/2022 Terminated)Puerto Rico
Registered Investment Advisory firm - (5/17/2022 Terminated)Texas
Registered Investment Advisory firm - (5/17/2022 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.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
Arizona(7/6/2018)
RR
Florida(4/1/2016)
RR
Maryland(1/5/2022)
RR
New Jersey(5/9/2016)
RR
Puerto Rico(3/31/2016)
IAR
Puerto Rico(4/5/2016)
RR
Texas(12/21/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HJ
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
HERBERT J. SIM CAPITAL MANAGEMENT INC. | HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
CRD#: 134510 / SEC#: 801-124853
RIA
Registered Investment Advisory firm - (5/2/2022 Approved)Connecticut
Registered Investment Advisory firm - (6/1/2022 Terminated)Florida
Registered Investment Advisory firm - (5/17/2022 Terminated)Louisiana
Registered Investment Advisory firm - (3/12/2025 Terminated)Maryland
Registered Investment Advisory firm - (5/23/2022 Terminated)Minnesota
Registered Investment Advisory firm - (6/3/2022 Terminated)New Jersey
Registered Investment Advisory firm - (5/19/2022 Terminated)North Carolina
Registered Investment Advisory firm - (5/20/2022 Terminated)Puerto Rico
Registered Investment Advisory firm - (5/17/2022 Terminated)Texas
Registered Investment Advisory firm - (5/17/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2150 Post Road Suite 301, Fairfield, CT 06824
Mailing Address
Phone number
(203) 418-9000
Established
Firm type
Fiscal year end
# of Employees
30
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 374 |
| AUM (Assets Under Management) | $ 186,784,367 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
