Alfonso V. Arias
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.
Alfonso V. Arias JR, who also goes by Alfonso V. Arias, was a registered financial professional .
Alfonso is a previously registered financial professional and started their career in finance in 2001. Alfonso had worked at 7 firms and has passed the Series 65, Series 63, Series 6 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2013 - October 8, 2014
MAIN STREET ADVISORS, LLC
April 12, 2013 - June 30, 2014
INDEPENDENT FINANCIAL GROUP, LLC
June 26, 2006 - December 31, 2009
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
April 12, 2006 - September 30, 2011
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
July 2, 2004 - September 22, 2004
CETERA INVESTMENT ADVISERS LLC
June 30, 2004 - September 14, 2004
CETERA FINANCIAL SPECIALISTS LLC
December 28, 2001 - July 2, 2004
HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC.
September 4, 2001 - June 30, 2004
HOCHMAN & BAKER SECURITIES, INC.
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 2
Date: 11/18/1992
Non-Member General Securities ExaminationCurrent Firm
MAIN STREET ADVISORS, LLC
CRD#: 116303 / SEC#: 801-69101
Contact information
Regulatory assets under management
| Total Number of Accounts | 441 |
| AUM (Assets Under Management) | $ 59,618,537 |
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.
