Richard G. Alvarez
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.
Richard Gregory Alvarez, who also goes by Rick Alvarez, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 20 firms and has passed the Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2014 - September 19, 2014
PTX SECURITIES, LLC
October 22, 2013 - May 1, 2014
VALIDATE CAPITAL MARKETS, LLC
March 11, 2011 - June 6, 2011
TERRA CAPITAL MARKETS LLC
November 16, 2010 - March 4, 2011
LIGHTSTONE SECURITIES, LLC
January 4, 2010 - November 8, 2010
FIRST UNION SECURITIES, INC.
March 2, 2007 - April 8, 2009
PACIFIC CORNERSTONE CAPITAL INCORPORATED
June 1, 2006 - October 12, 2006
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
August 2, 2005 - June 1, 2006
EVERLAKE DISTRIBUTORS, LLC
July 16, 2004 - May 2, 2005
TOWER SQUARE SECURITIES, INC.
January 3, 2001 - May 14, 2004
NATIONWIDE INVESTMENT SERVICES CORPORATION
August 26, 1998 - May 2, 2000
TRANSAMERICA CAPITAL, LLC
May 20, 1996 - August 6, 1998
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
May 27, 1993 - May 19, 1995
TECHNOLOGY FUNDING SECURITIES CORPORATION
August 23, 1985 - January 2, 1992
PLM SECURITIES CORP.
May 1, 1984 - October 29, 1984
SOUTHMARK CAPITAL RESOURCE
July 25, 1983 - January 31, 1984
INTEGRATED RESOURCES MARKETING, INC.
April 13, 1981 - February 4, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
October 3, 1979 - June 9, 1980
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
January 17, 1977 - November 1, 1979
VANCE, SANDERS & COMPANY, INC
October 9, 1974 - January 14, 1977
INTEGRATED RESOURCES MARKETING, INC.
August 29, 1972 - October 7, 1974
CHASE INVESTMENT SERVICES OF BOSTON, INC.
January 20, 1970 - March 21, 1975
NEWFIELD INVESTMENTS INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 8/8/1966
Registered Representative ExaminationSeries 00
Date: 1/18/1971
General Securities Principal ExaminationCurrent Firm
PTX SECURITIES, LLC
CRD#: 7735 / SEC#: , 8-23378
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 8 |
Red Flags
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