Umberto Perez Jr.
CFP®Professional Summary
Umberto Perez JR., CFP® is a registered financial advisor currently at CASTLEVIEW PARTNERS, LLC located in Coral Gables, Florida and KOVACK SECURITIES INC. located in Coral Gables, Florida. Umberto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Umberto has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Credentials
Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
AIALPHA TAMP SERVICES | FUSE PARTNERS | CASTLEVIEW PARTNERS, LLC D/B/A AIALPHA TAMP SERVICES | CASTLEVIEW PARTNERS, LLC
Contact Information
Main Address
4851 Lbj Freeway Suite 850, Dallas, TX 75244Phone Number
(214) 710-1995# of Employees
22SEC notice filing (6 States and Territories)
Registered to provide investment advisory services in 6 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,894AUM (Assets Under Management)
$416,875,249Similar Advisors
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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.
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Primary Firm SEC Registration
AIALPHA TAMP SERVICES | FUSE PARTNERS | CASTLEVIEW PARTNERS, LLC D/B/A AIALPHA TAMP SERVICES | CASTLEVIEW PARTNERS, LLC
State Registrations and Notice Filings
(1/3/2017)
(1/3/2017)
(11/4/2015)
(2/16/2016)
(2/16/2016)
(12/22/2020)
(3/7/2016)
(1/3/2017)
(1/3/2017)
(1/3/2017)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2000About the Series 6 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Umberto Perez JR.'s CRS (Customer Relationship Summary).
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