Walter J. Alves

AZ APICE CAPITAL MANAGEMENT LLC

Miami, FL 33131

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CRD#: 2784279

Professional summary

Walter Jose Alves JR, who also goes by Walter Jose Alves, is a registered financial advisor currently at AZ APICE CAPITAL MANAGEMENT LLC located in Miami, Florida and SANCTUARY SECURITIES, INC. located in Miami, Florida.

Walter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Walter has worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 3, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Walter Jose Alves

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.

(1) Name: AZ APICE CAPITAL MANAGEMENT LLC Position: Managing Director Nature: Financial Advisory Investment Related: Yes Hours: 160 Securities Trading Hours: 150 Start Date: 02/06/2016 Address: 1450 Brickell ave Ste# 2610, Miami FL 33131, United States Description: Managing client's accounts and relationships

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Walter Jose Alves JR's CRS (Customer Relationship Summary).

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

February 19, 2016 - Present

AZ APICE CAPITAL MANAGEMENT LLC

Office #1: 1450 Brickell Ave Suite 2610, Miami, FL 33131

RIA

CRD#: 281973

Miami, FL

Current

March 21, 2022 - Present

SANCTUARY SECURITIES, INC.

Office #1: 1450 Brickell Avenue Suite 2610, Miami, FL 33131

CRD#: 205

MIAMI, FL

Past

July 31, 2017 - April 20, 2022

INSIGNEO SECURITIES, LLC

CRD#: 29249

Miami, FL

Past

February 17, 2016 - July 31, 2017

NORTHEAST SECURITIES, LLC

CRD#: 25996

Miami, FL

Past

June 1, 2009 - February 29, 2016

MORGAN STANLEY

RIA

CRD#: 149777

MIAMI, FL

Past

June 1, 2009 - February 29, 2016

MORGAN STANLEY

CRD#: 149777

MIAMI, FL

Past

February 7, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

MIAMI, FL

Past

February 6, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

MIAMI, FL

Past

May 14, 2004 - February 15, 2007

LEHMAN BROTHERS INC.

RIA

CRD#: 7506

MIAMI, FL

Past

September 12, 2000 - February 15, 2007

LEHMAN BROTHERS INC.

CRD#: 7506

MIAMI, FL

Past

September 16, 1996 - August 4, 1998

NATIXIS DISTRIBUTION, LLC

CRD#: 34754

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AZ APICE CAPITAL MANAGEMENT LLC

CRD#: 281973 / SEC#: 801-107020

RIA

Registered Investment Advisory firm - (12/11/2015 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Florida
(2/29/2016)

Florida
(3/21/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/24/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/13/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/1/2002

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/10/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/13/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 11/10/1997

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

AZ APICE CAPITAL MANAGEMENT LLC

CRD#: 281973 / SEC#: 801-107020

RIA

Registered Investment Advisory firm - (12/11/2015 Approved)

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Contact information

Main Address

1450 Brickell Ave Suite 2610, Miami, FL 33131

Mailing Address

Phone number

(305) 912-0915

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AZ APICE BROCHURE MAY 2023 (3/6/2025)

Regulatory assets under management

Total Number of Accounts	224
AUM (Assets Under Management)	$ 375,795,943

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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Advisor Monitoring

Firm Stability Insights

Walter J. Alves

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Walter Jose Alves JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANCTUARY SECURITIES, INC.

INSIGNEO SECURITIES, LLC

NORTHEAST SECURITIES, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

LEHMAN BROTHERS INC.

LEHMAN BROTHERS INC.

NATIXIS DISTRIBUTION, LLC

Primary Firm SEC Registration

AZ APICE CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/24/2000

Series 63

Date: 9/13/1996

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 2/1/2002

Series 7

Date: 10/10/2000

Series 6

Date: 9/13/1996

Series 26

Date: 11/10/1997

FINRA

Current Firm

AZ APICE CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AZ APICE CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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