Alma M. Alcoser
Professional summary
Alma Marie Alcoser, who also goes by Alma M Alcoser, is a registered financial advisor currently at FROST INVESTMENT SERVICES located in San Antonio, Texas and FROST BROKERAGE SERVICES, INC. located in San Antonio, Texas.
Alma is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Alma has worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Alma Marie Alcoser's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 9, 2022 - Present
FROST INVESTMENT SERVICES
Office #2: 111 West Houston Street, San Antonio, TX 78205May 9, 2022 - Present
FROST BROKERAGE SERVICES, INC.
Office #1: 111 W Houston Ste 100, San Antonio, TX 78205August 15, 2013 - May 10, 2022
WELLS FARGO CLEARING SERVICES, LLC
August 15, 2013 - May 10, 2022
WELLS FARGO CLEARING SERVICES, LLC
October 24, 2012 - February 21, 2013
WELLS FARGO CLEARING SERVICES, LLC
August 16, 2012 - February 21, 2013
WELLS FARGO CLEARING SERVICES, LLC
March 22, 2012 - August 15, 2012
HILLTOP SECURITIES INC.
December 23, 2009 - February 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 2006 - September 15, 2009
UBS INTERNATIONAL INC.
July 8, 2005 - May 19, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/9/2022)
(5/9/2022)
Exams
Series 52TO
Date: 10/25/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
Red Flags
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