Guillermo Alvarez-calderon
Professional summary
Guillermo Alvarez-calderon, who also goes by Guillermo Advarez-calderon, Mimo Alvarez-calderon, is a registered financial professional currently at BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC located in New York, New York.
Guillermo is registered as a RR (Registered Representative) and started their career in finance in 2000. Guillermo has worked at 4 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 28, Series 27, Series 26 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Guillermo Alvarez-calderon's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 22, 2025 - Present
BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
Office #1: 225 Liberty Street 35th Floor, New York, NY 10281December 15, 2008 - December 10, 2024
CION SECURITIES, LLC
August 7, 2001 - December 3, 2008
ALLIANCEBERNSTEIN INVESTMENTS, INC.
November 30, 2000 - June 27, 2001
CITIGROUP GLOBAL MARKETS 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
(1/22/2025)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 28
Date: 10/23/2023
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
CRD#: 313390 / SEC#: , 8-70722
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
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.
