AA
Alberto G. Alvarez
VOYA FINANCIAL ADVISORS
Bakersfield, CA
Some features on this profile are disabled
CRD#: 5029485
AA
Professional summary
Alberto Gabriel Alvarez, who also goes by Albert Alvarez, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Bakersfield, California.
Alberto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Alberto has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Albert Alvarez
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.
RENTAL PROPERTIES POSITION: Landlord NATURE: Passive Rental Income Property INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2018 ADDRESS: Bakersfield CA 93309, United States DESCRIPTION: Collect rent, coordinate repairs and maintenance PRODUCE SALES POSITION: Owner/Proprietor/Employee NATURE: I will be selling produce at street markets/events from December 2024 - March 2025 (approximately). INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 12/12/2024 ADDRESS: 1837 Canter Way Apt. A, Bakersfield CA 93309, United States DESCRIPTION: I will be responsible for transporting and the selling of the produce. The business will run outside of Voya work hours, primarily on weekends and in the evenings.
CRS (Client Relationship Summary) - RIA
Click below to view Alberto Gabriel Alvarez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alberto Gabriel Alvarez'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®
NoneExperience
Current
September 5, 2023 - Present
VOYA FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 2882
Bakersfield, CA
Current
September 5, 2023 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: One Orange Way, C4-s, Windsor, CT 06095RIA
BD
CRD#: 2882
Windsor, CT
Past
October 31, 2022 - August 15, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
MESA, AZ
Past
September 9, 2022 - August 12, 2023
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SALT LAKE CITY, UT
Past
May 4, 2020 - August 9, 2022
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Bakersfield, CA
Past
May 1, 2020 - August 9, 2022
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Bakersfield, CA
Past
February 14, 2013 - July 17, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
PASADENA, CA
Past
February 14, 2013 - July 17, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
PASADENA, CA
Past
June 2, 2010 - July 31, 2012
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
COMPTON, CA
Past
June 1, 2010 - July 31, 2012
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
COMPTON, CA
Past
March 3, 2008 - May 28, 2010
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
HUNTINGTON BEACH, CA
Past
April 27, 2007 - May 28, 2010
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
HUNTINGTON BEACH, CA
Past
October 31, 2005 - March 5, 2007
OSAIC SERVICES, INC.
BD
CRD#: 133763
IRVINE, CA
Past
September 26, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
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
RR
Alabama(9/5/2023)
RR
Alaska(9/5/2023)
RR
Arizona(9/5/2023)
RR
Arkansas(9/5/2023)
RR
California(9/5/2023)
IAR
California(9/5/2023)
RR
Colorado(9/5/2023)
RR
Connecticut(9/5/2023)
IAR
Connecticut(9/5/2023)
RR
Delaware(9/5/2023)
RR
District of Columbia(9/5/2023)
RR
Florida(9/5/2023)
RR
Georgia(9/5/2023)
RR
Hawaii(9/5/2023)
RR
Idaho(9/5/2023)
RR
Illinois(9/5/2023)
RR
Indiana(9/5/2023)
RR
Iowa(9/5/2023)
RR
Kansas(9/5/2023)
RR
Kentucky(9/5/2023)
RR
Louisiana(9/5/2023)
RR
Maine(9/5/2023)
RR
Maryland(9/5/2023)
RR
Massachusetts(9/5/2023)
RR
Michigan(9/5/2023)
RR
Minnesota(9/5/2023)
RR
Mississippi(9/5/2023)
RR
Missouri(9/5/2023)
RR
Montana(9/5/2023)
RR
Nebraska(9/5/2023)
RR
Nevada(9/5/2023)
RR
New Hampshire(9/5/2023)
RR
New Jersey(9/5/2023)
RR
New Mexico(9/5/2023)
RR
New York(9/5/2023)
IAR
New York(10/18/2023)
RR
North Carolina(9/5/2023)
RR
North Dakota(9/5/2023)
RR
Ohio(9/5/2023)
RR
Oklahoma(9/5/2023)
RR
Oregon(9/5/2023)
RR
Pennsylvania(9/5/2023)
RR
Puerto Rico(9/5/2023)
RR
Rhode Island(9/5/2023)
RR
South Carolina(9/5/2023)
RR
South Dakota(9/5/2023)
RR
Tennessee(9/5/2023)
RR
Texas(9/5/2023)
IAR
Texas(9/5/2023)
RR
Utah(9/5/2023)
RR
Vermont(9/5/2023)
RR
Virgin Islands(9/5/2023)
RR
Virginia(9/5/2023)
RR
Washington(9/5/2023)
RR
West Virginia(9/5/2023)
RR
Wisconsin(9/5/2023)
RR
Wyoming(9/5/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
+1 (800) 356-2906
Established
Minnesota since 04/26/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
563
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
