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Luis Alvira

Some features on this profile are disabled
CRD#: 2714996
LA

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.

Luis Alvira was a registered financial professional .

Luis is a previously registered financial professional and started their career in finance in 1996. Luis had worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
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

March 2, 2016 - August 12, 2016

FOOTHILL SECURITIES, INC.

BD
CRD#: 1027
Santa Clara, CA
Past

July 16, 2010 - October 6, 2015

LIVEVOL SECURITIES, INC.

BD
CRD#: 23670
SAN FRANCISCO, CA
Past

December 5, 2008 - January 5, 2010

WINDFALL SECURITIES LLC

BD
CRD#: 147779
SAN FRANCISCO, CA
Past

March 19, 2008 - July 2, 2008

DILLON SCOTT SECURITIES, INC.

BD
CRD#: 118755
SAN FRANCISCO, CA
Past

November 15, 2007 - December 31, 2008

TERRANOVA CAPITAL EQUITIES, INC

BD
CRD#: 45097
NEW YORK, NY
Past

December 19, 2005 - January 14, 2008

URCHIN CAPITAL PARTNERS, LLC

BD
CRD#: 45691
SAN FRANCISCO, CA
Past

May 3, 2004 - April 7, 2005

M. S. HOWELLS & CO.

BD
CRD#: 104100
SCOTTSDALE, AZ
Past

January 12, 2004 - May 4, 2004

TERRA NOVA FINANCIAL, LLC

BD
CRD#: 37761
NEW YORK, NY
Past

November 7, 2003 - January 2, 2004

PRESIDIO CAPITAL ADVISORS, LLC

BD
CRD#: 116284
SAN FRANCISCO, CA
Past

April 11, 2002 - September 26, 2003

BLACKBEARD SECURITIES, LLC

BD
CRD#: 46748
SAN FRANCISCO, CA
Past

June 21, 1996 - November 16, 2001

SHARE KING, LLC

BD
CRD#: 33150
SAN FRANCISCO, CA

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

State Security Law Exam
RR
Series 63
Date: 3/14/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/12/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/17/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 11/26/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/20/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/6/2006
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/9/1999
General Securities Principal Examination

Current Firm

FS
FOOTHILL SECURITIES, INC.
FOOTHILL SECURITIES, INC.

CRD#: 1027 / SEC#: 801-57293, 8-11117

BD
Terminated by SEC on 02/13/2017
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Contact information

Main Address
2900 Lakeside Drive Suite 100, Santa Clara, CA 95054
Mailing Address
Phone number
Established
California since 10/11/1962
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
CHIPMAN, STEPHEN HENRYPRESIDENT AND CEO1062136
CUE FINANCIAL GROUPSHAREHOLDER
KRESGE, RODNEYCCO2611596
WHITE, KARYN MARIEFINOP/CFO1628494

Disclosures

Regulatory Event5
Arbitration1

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

FOOTHILL SECURITIES, INC.

CRD#: 1027

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