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JA

Jose V. Alvarado

Some features on this profile are disabled
CRD#: 2197407
JA

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.

Jose Vicente Alvarado, who also goes by Jose V Alvarado, Jose VIncente Alvarado, was a registered financial professional .

Jose is a previously registered financial professional and started their career in finance in 2006. Jose had worked at 3 firms and has passed the Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jose V Alvarado | Jose Vincente Alvarado

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 14, 2009 - January 10, 2012

SOUZA BARROS SECURITIES, INC

BD
CRD#: 149032
MIAMI, FL
Past

January 22, 2007 - January 10, 2008

CREDICORP CAPITAL LLC

BD
CRD#: 136791
MIAMI, FL
Past

February 2, 2006 - December 11, 2006

BANIF SECURITIES INC

BD
CRD#: 38913
MIAMI, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 2/1/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/26/2009
General Securities Principal Examination

Current Firm

SB
SOUZA BARROS SECURITIES, INC
SOUZA BARROS SECURITIES, INC | SOUZA BARROS SECURITIES, INC.

CRD#: 149032 / SEC#: , 8-68097

BD
Terminated by SEC on 07/15/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 04/11/2008
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
THE GIANT HOLDING INTERNATIONAL LTD.OWNER
BIKELIS, RAIKOCEO CCO5624438
DRUTAU, MAYA ARTEMOVNACFO & FINOP4580500

Disclosures

Regulatory Event2

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.

Company Information

SOUZA BARROS SECURITIES, INC

CRD#: 149032

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