Enrique Alvarez
Professional Summary
Enrique Alvarez, who also goes by Enrique Nmn Alvarez, Enrique Alvarez, Rick Alvarez, is a registered financial advisor currently at CANNON SECURITIES, INC. located in Athens, Georgia and LEONIS SECURITIES, LLC located in New York, New York. Enrique is registered as a RR (Registered Representative) and started their career in finance in 2006. Enrique has worked at 33 firms and has passed the SIE, Series 99TO and Series 28 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Enrique Nmn Alvarez, Enrique Alvarez, Rick Alvarez
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
SGP SECURITIES, LLC
Contact Information
Main Address
31 Hudson Yards 11th Floor, New York, NY, 10001Mailing Address
31 Hudson Yards 11th Floor, New York, NY, 10001Phone Number
(650) 823-5437Established
Delaware since 09/26/2023Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed May 2006About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Enrique Alvarez's CRS (Customer Relationship Summary).
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