Harold Alvarado
Professional summary
Harold Alvarado, who also goes by Harold Ruben Alvarado, is a registered financial professional currently at LINCOLN FINANCIAL DISTRIBUTORS, INC. located in Fort Wayne, Indiana.
Harold is registered as a RR (Registered Representative) and started their career in finance in 1999. Harold has worked at 15 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Harold Alvarado's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 21, 2025 - Present
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Office #1: 1301 S Harrison Street, Fort Wayne, IN 46802October 25, 2021 - May 7, 2025
TRANSAMERICA RETIREMENT ADVISORS, LLC
October 15, 2021 - May 7, 2025
TRANSAMERICA INVESTORS SECURITIES, LLC
April 21, 2021 - October 8, 2021
NYLIFE SECURITIES LLC
September 18, 2019 - March 8, 2021
PRUCO SECURITIES, LLC.
September 17, 2019 - March 8, 2021
PRUCO SECURITIES, LLC.
July 9, 2015 - January 3, 2019
HARRISDIRECT LLC
July 1, 2015 - January 3, 2019
E*TRADE SECURITIES LLC
October 31, 2013 - June 17, 2015
WELLS FARGO CLEARING SERVICES, LLC
October 29, 2013 - June 17, 2015
WELLS FARGO CLEARING SERVICES, LLC
November 15, 2011 - November 6, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 10, 2011 - November 6, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 7, 2010 - September 27, 2011
USAA FINANCIAL PLANNING SERVICES
November 16, 2010 - September 27, 2011
USAA FINANCIAL ADVISORS, INC.
November 13, 2008 - November 5, 2010
MSI FINANCIAL SERVICES, INC.
June 3, 2008 - November 5, 2010
MSI FINANCIAL SERVICES, INC.
June 14, 2007 - May 7, 2008
VOYA FINANCIAL ADVISORS, INC.
November 22, 2000 - December 5, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 2000 - December 5, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 5, 2000 - October 30, 2000
FISERV INVESTOR SERVICES, INC.
June 23, 1999 - June 27, 2000
T. ROWE PRICE INVESTMENT SERVICES, 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
(5/21/2025)
Exams
FINRA
Current Firm
LINCOLN FINANCIAL DISTRIBUTORS, INC.
CRD#: 145 / SEC#: , 8-13431
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE LINCOLN NATIONAL LIFE INSURANCE COMPANY | SHAREHOLDER | |
| CHRYSSIKOS, PAUL TELEMAC | SENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER | 7263748 |
| FALLER, DANIEL T | SENIOR VICE PRESIDENT, HEAD OF LFD FINANCE | 6006570 |
| GIBSON, JASON MICHAEL | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, DISTRIBUTION | 3081880 |
| KENNEDY, JOHN CHRISTOPHER | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2213083 |
| NEPA, JARED M. | SVP, HEAD OF LIFE & MONEYGUARD DISTRIBUTION | 5157819 |
| OMORUYI, MEGAN VOGT | AVP, FINANCIAL AND OPERATIONS PRINCIPAL | 7803022 |
| SEIFERT, TIMOTHY JOHN | SENIOR VICE PRESIDENT, HEAD OF RS DISTRIBUTION | 1577571 |
| SMITH, NANCY | SECRETARY | 6140078 |
Disclosures
| Regulatory Event | 3 |
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
LINCOLN FINANCIAL DISTRIBUTORS, INC.
CRD#: 145Fort Wayne, IN 46802TRUST BUT VERIFY
Monitor Harold Alvarado
Get automatic monthly alerts on:
