Francia M. Alvarez
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Francia Maria Alvarez was a registered financial professional .
Francia is a previously registered financial professional and started their career in finance in 2003. Francia had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2007 - July 29, 2013
CADARET, GRANT & CO., INC.
September 6, 2005 - October 8, 2007
WALNUT STREET SECURITIES, INC.
January 30, 2004 - November 16, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
January 30, 2004 - November 16, 2004
IDS LIFE INSURANCE COMPANY
January 30, 2004 - November 16, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
November 5, 2003 - December 19, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
September 25, 2003 - December 19, 2003
IDS LIFE INSURANCE COMPANY
September 25, 2003 - December 19, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
