Armida Sancen

ALAMO CAPITAL

Walnut Creek, CA 94596

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CRD#: 4519269

Professional summary

Armida Sancen is a registered financial professional currently at ALAMO CAPITAL located in Walnut Creek, California.

Armida is registered as a RR (Registered Representative) and started their career in finance in 2002. Armida has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Armida Sancen's CRS (Customer Relationship Summary).

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

February 24, 2017 - Present

ALAMO CAPITAL

Office #1: 201 N Civic Dr #180, Walnut Creek, CA 94596

RIA

CRD#: 26193

Walnut Creek, CA

Past

March 4, 2005 - November 29, 2016

LPL FINANCIAL LLC

CRD#: 6413

DANVILLE, CA

Past

November 20, 2002 - March 4, 2005

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

State Registrations and Notice Filings

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

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
(2/24/2017)

Exams

State Security Law Exam

Series 63

Date: 12/20/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/16/2007

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 24

Date: 3/20/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALAMO CAPITAL

A.C. WEALTH MANAGEMENT | ALAMO CAPITAL CORPORATION | ALAMO CAPITAL

CRD#: 26193 / SEC#: , 8-42293

California

Registered Investment Advisory firm - SEC (1/2/2002 Approved)

Nevada

Registered Investment Advisory firm - SEC (12/29/2017 Terminated)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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

201 N Civic Dr #180, Walnut Creek, CA 94596-3761

Mailing Address

201 N Civic Dr Suite 180, Walnut Creek, CA 94596

Phone number

(925) 472-5740

Established

California since 08/27/1987

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (41 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MULLALLY, NANCY ANN RUEHLE	CEO	1004052
MULLALLY, NANCY ANN RUEHLE	CFO	1004052
DURDEN JR, JOHN KENNETH	FINOP	860423
KENT-ASTER, ALLISON VICTORIA	CCO	2047679
MULLALLY, WILLIAM JOHN	PRESIDENT	818827

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 81,684,700

Disclosures

Regulatory Event	3
Bond	3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Armida Sancen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Armida Sancen's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

NATIONAL PLANNING CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 12/20/2002

SIE

Date: 10/1/2018

Series 7

Date: 2/16/2007

Series 6

Date: 11/19/2002

Series 24

Date: 3/20/2023

FINRA

Current Firm

ALAMO CAPITAL

Contact information

FINRA licenses (41 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ALAMO CAPITAL

TRUST BUT VERIFY

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