Alex X. 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.
Alex Xavier Alvarez was a registered financial professional .
Alex is a previously registered financial professional and started their career in finance in 2004. Alex had worked at 8 firms and has passed the Series 66, SIE 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
September 1, 2016 - November 2, 2016
SCOTTRADE INVESTMENT MANAGEMENT
February 24, 2015 - November 2, 2016
SCOTTRADE, INC.
September 18, 2013 - August 15, 2014
J.P. MORGAN SECURITIES LLC
March 9, 2010 - August 3, 2012
U.S. BANCORP ADVISORS, LLC
May 29, 2007 - January 28, 2010
CITIGROUP GLOBAL MARKETS INC.
August 23, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
April 14, 2004 - March 10, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
April 5, 2004 - March 10, 2005
IDS LIFE INSURANCE COMPANY
April 5, 2004 - March 10, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
SCOTTRADE INVESTMENT MANAGEMENT
CRD#: 169988 / SEC#: 801-79217
Contact information
Red Flags
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