Harold Alvarado

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CRD#: 3147561

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.

Harold Alvarado, who also goes by Harold Ruben Alvarado, was a registered financial professional .

Harold is a previously registered financial professional and started their career in finance in 1999. Harold had worked at 17 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Aliases

Harold Ruben Alvarado

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.) LINCOLN FINANCIAL - 5/21/2025 - 1301 S Harrison Street, Fort Wayne, IN 46802 - Retirement Consultant, Retirement education, Invt Rel, Insurance business, 40 hrs/mo; 0 hrs/mo (during trading hours). 2.) TLG ADVISORS - 2/10/26 - 475 Springfield Avenue, Summit, NJ 07901 - IAR, Invt Rel, RA business, 10 hrs/mo; 10 hrs/mo (during trading hours).

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

February 11, 2026 - August 10, 2026

TLG ADVISORS, INC.

RIA

CRD#: 111052

Fort Wayne, IN

Past

February 10, 2026 - August 10, 2026

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

May 21, 2025 - December 31, 2025

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

October 25, 2021 - May 7, 2025

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

Tampa, FL

Past

October 15, 2021 - May 7, 2025

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

ST. PETERSBURG, FL

Past

April 21, 2021 - October 8, 2021

NYLIFE SECURITIES LLC

CRD#: 5167

TAMPA, FL

Past

September 18, 2019 - March 8, 2021

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

TAMPA, FL

Past

September 17, 2019 - March 8, 2021

PRUCO SECURITIES, LLC.

CRD#: 5685

TAMPA, FL

Past

July 9, 2015 - January 3, 2019

HARRISDIRECT LLC

RIA

CRD#: 42159

TAMPA, FL

Past

July 1, 2015 - January 3, 2019

E*TRADE SECURITIES LLC

CRD#: 29106

TAMPA, FL

Past

October 31, 2013 - June 17, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

TAMPA, FL

Past

October 29, 2013 - June 17, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

TAMPA, FL

Past

November 15, 2011 - November 6, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BRANDON, FL

Past

November 10, 2011 - November 6, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BRANDON, FL

Past

December 7, 2010 - September 27, 2011

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

TAMPA, FL

Past

November 16, 2010 - September 27, 2011

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

TAMPA, FL

Past

November 13, 2008 - November 5, 2010

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

TAMPA, FL

Past

June 3, 2008 - November 5, 2010

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

TAMPA, FL

Past

June 14, 2007 - May 7, 2008

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

TAMPA, FL

Past

November 22, 2000 - December 5, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TAMPA, FL

Past

November 21, 2000 - December 5, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 5, 2000 - October 30, 2000

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

June 23, 1999 - June 27, 2000

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

BALTIMORE, MD

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".

TLG ADVISORS, INC.

CRD#: 111052 / SEC#: 801-60458

RIA

Registered Investment Advisory firm - (8/6/2001 Approved)

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.

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 66

Date: 10/17/2008

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/22/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/13/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/13/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/22/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TLG ADVISORS, INC.

CRD#: 111052 / SEC#: 801-60458

RIA

Registered Investment Advisory firm - (8/6/2001 Approved)

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Contact information

Main Address

475 Springfield Ave, Summit, NJ 07901

Mailing Address

Phone number

(888) 371-0013

Established

Firm type

Fiscal year end

# of Employees

280

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TLG ADVISORS FORM ADV BROCHURE 2025 (3/30/2025)

Regulatory assets under management

Total Number of Accounts	6,331
AUM (Assets Under Management)	$ 1,948,103,893

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

Harold Alvarado

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE LEADERS GROUP, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

TRANSAMERICA RETIREMENT ADVISORS, LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

NYLIFE SECURITIES LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

VOYA FINANCIAL ADVISORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FISERV INVESTOR SERVICES, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

TLG ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/17/2008

Series 65

Date: 12/22/2000

Series 63

Date: 8/13/1999

SIE

Date: 10/1/2018

Series 7

Date: 6/13/2007

Series 6

Date: 6/22/1999

Current Firm

TLG ADVISORS, INC.

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TLG ADVISORS, INC.

TRUST BUT VERIFY

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