Eduardo Sotomayor Alamo

PARITER WEALTH MANAGEMENT GROUP LLC

Guaynabo, PR 00966-1915

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CRD#: 4479048

Professional summary

Eduardo Sotomayor Alamo, who also goes by Eduardo Sotomayor, is a registered financial advisor currently at PARITER WEALTH MANAGEMENT GROUP LLC located in Guaynabo, and PARITER SECURITIES, LLC located in Guaynabo, .

Eduardo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Eduardo has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 14, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eduardo Sotomayor

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) Insurance Agent. not investment related. Provide alternatives to clients related to life insurance products. 15 hours/mo, not during business hours. (2) Sampson Real Estate, San Juan, PR; Not investment related; Real Estate Broker; Start Date: 10/2018; time spent: 5 - 10 hours per month;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eduardo Sotomayor Alamo's CRS (Customer Relationship Summary).

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

Current

July 16, 2019 - Present

PARITER WEALTH MANAGEMENT GROUP LLC

Office #1: 243 Carretera #2, Guaynabo, PR 00966-1915

RIA

CRD#: 146622

Guaynabo, PR

Current

February 18, 2016 - Present

PARITER SECURITIES, LLC

Office #1: 243 Carretera #2, Guaynabo, PR 00966

CRD#: 127836

Guaynabo, PR

Past

July 5, 2012 - February 3, 2016

INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC

CRD#: 17053

SAN JUAN, PR

Past

January 13, 2010 - July 9, 2012

PARITER SECURITIES, LLC

CRD#: 127836

GUAYNABO, PR

Past

May 21, 2009 - January 6, 2010

OFS SECURITIES, INC.

CRD#: 39615

HATO REY, PR

Past

November 20, 2002 - December 31, 2004

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(10/18/2019)

Florida
(2/18/2016)

Maryland
(2/18/2016)

Massachusetts
(11/27/2017)

New York
(12/6/2017)

Pennsylvania
(7/29/2019)

Puerto Rico
(2/18/2016)

IAR

Puerto Rico
(7/16/2019)

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

State Security Law Exam

IAR

Series 65

Date: 7/16/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/27/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/20/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/19/2002

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 53

Date: 3/22/2019

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 1/27/2011

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/26/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PARITER WEALTH MANAGEMENT GROUP LLC

CRD#: 146622 / SEC#: 801-69079

RIA

Registered Investment Advisory firm - (8/6/2019 Terminated)

Maryland

Registered Investment Advisory firm - (4/3/2012 Terminated)

Puerto Rico

Registered Investment Advisory firm - (7/15/2019 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

243 Carretera #2, Guaynabo, PR 00966-1915

Mailing Address

P.o. Box 11852, San Juan, PR 00922-1852

Phone number

(787) 781-2555

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	36
AUM (Assets Under Management)	$ 16,280,187

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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Firm Stability Insights

Eduardo Sotomayor Alamo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eduardo Sotomayor Alamo's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARITER SECURITIES, LLC

INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC

PARITER SECURITIES, LLC

OFS SECURITIES, INC.

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/16/2019

Series 63

Date: 11/27/2017

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/20/2009

Series 6

Date: 11/19/2002

Series 14

Date: 1/2/2023

Series 53

Date: 3/22/2019

Series 4

Date: 1/27/2011

Series 24

Date: 3/26/2010

FINRA

Current Firm

PARITER WEALTH MANAGEMENT GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PARITER WEALTH MANAGEMENT GROUP LLC

TRUST BUT VERIFY

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