Carlos A. Alvarez

ABENDSTERN WEALTH MANAGEMENT

Shenandoah, TX 77384

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CRD#: 2508410

Professional summary

Carlos Andres Alvarez is a registered financial advisor currently at ABENDSTERN WEALTH MANAGEMENT, INC. located in Shenandoah, Texas.

Carlos is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Carlos has worked at 4 firms and has passed the Series 65 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Mr. Alvarez is a realtor with Texas Ally Real Estate. Start date 2019. This is part time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Andres Alvarez'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®

None

Experience

Current

May 29, 2015 - Present

ABENDSTERN WEALTH MANAGEMENT, INC.

Office #1: 150 Pine Forest Dr. Suite 803, Shenandoah, TX 77384

RIA

CRD#: 172715

Shenandoah, TX

Past

August 8, 2001 - October 8, 2002

GLOBAN MANAGEMENT, INC.

RIA

CRD#: 109649

HOUSTON, TX

Past

July 26, 2000 - October 24, 2000

UNITED AMERICAN INTERNATIONAL, INC.

CRD#: 30922

HOUSTON, TX

Past

April 21, 1999 - July 13, 1999

GBM INTERNATIONAL, INC.

CRD#: 28684

HOUSTON, TX

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.

Highlighted states indicate IAR registrations

IAR

Florida
(3/12/2018)

IAR

Texas
(5/29/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/28/2015

Uniform Investment Adviser Law Examination

Principal/Supervisory Exam

Series 27

Date: 1/8/1999

Financial and Operations Principal Examination

Current Firm

ABENDSTERN WEALTH MANAGEMENT, INC.

ABENDSTERN WEALTH MANAGEMENT, INC. | ABENSTERN WEALTH MANAGEMENT, INC.

CRD#: 172715 / SEC#: 801-80738

RIA

Registered Investment Advisory firm - (9/21/2015 Terminated)

Florida

Registered Investment Advisory firm - (3/12/2018 Approved)

Texas

Registered Investment Advisory firm - (9/15/2015 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

150 Pine Forest Dr. Suite 803, Shenandoah, TX 77384

Mailing Address

Phone number

(713) 429-5375

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Carlos A. Alvarez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Andres Alvarez's CRS (Customer Relationship Summary).

Certified licenses

Experience

ABENDSTERN WEALTH MANAGEMENT, INC.

GLOBAN MANAGEMENT, INC.

UNITED AMERICAN INTERNATIONAL, INC.

GBM INTERNATIONAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/28/2015

Series 27

Date: 1/8/1999

Current Firm

ABENDSTERN WEALTH MANAGEMENT, INC.

Contact information

Documents

Red Flags

Company Information

ABENDSTERN WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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