Bernabe S. Alivio
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Bernabe Sedilla Alivio, who also goes by Bernabe Alivio, Bernie Alivio, was a registered financial professional .
Bernabe is a previously registered financial professional and started their career in finance in 1988. Bernabe had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2014 - October 5, 2015
WELLS FARGO CLEARING SERVICES, LLC
February 6, 2014 - October 5, 2015
WELLS FARGO CLEARING SERVICES, LLC
July 31, 2012 - February 6, 2014
LPL FINANCIAL LLC
December 2, 2008 - July 31, 2012
CUSO FINANCIAL SERVICES, L.P.
October 2, 2008 - November 24, 2008
ALLSTATE FINANCIAL SERVICES, LLC
June 16, 2006 - August 19, 2008
KINECTA FINANCIAL & INSURANCE SERVICES
April 18, 2006 - August 26, 2008
LPL FINANCIAL LLC
June 2, 2004 - April 11, 2006
FIDELITY BROKERAGE SERVICES LLC
February 26, 2004 - April 13, 2004
METROPOLITAN LIFE INSURANCE COMPANY
February 26, 2004 - April 13, 2004
MSI FINANCIAL SERVICES, INC.
March 3, 2003 - March 2, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
October 2, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
May 9, 2002 - October 24, 2002
WORLDCO, L.L.C.
October 11, 2001 - April 26, 2002
KERSHNER TRADING GROUP, LLC
November 30, 2000 - November 7, 2001
DEUTSCHE IXE, LLC
November 18, 1997 - November 30, 2000
NATIONAL CLEARING CORP.
June 5, 1997 - October 29, 1997
AMERIVET SECURITIES, INC.
February 8, 1989 - May 17, 1995
BA INVESTMENT SERVICES, INC.
March 23, 1988 - October 19, 1988
WESTMONT SECURITIES CORPORATION
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 8/27/1999
Limited Representative-Equity Trader ExamCurrent Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
