Alvaro Vivanco

TJM INVESTMENTS

Rowayton, CT 06853

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CRD#: 5201882

Professional summary

Alvaro Vivanco is a registered financial professional currently at TJM INVESTMENTS, LLC located in Rowayton, Connecticut.

Alvaro is registered as a RR (Registered Representative) and started their career in finance in 2006. Alvaro has worked at 4 firms and has passed the Series 63, SIE, Series 7 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 Alvaro Vivanco'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®

None

Experience

Current

January 23, 2025 - Present

TJM INVESTMENTS, LLC

Office #1: 137 Rowayton Ave Suite 101, Rowayton, CT 06853

CRD#: 46300

Rowayton, CT

Past

April 30, 2019 - January 24, 2025

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

STAMFORD, CT

Past

October 17, 2011 - April 3, 2019

BBVA SECURITIES INC.

CRD#: 27060

NEW YORK, NY

Past

September 22, 2006 - September 30, 2011

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

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

Connecticut
(1/23/2025)

Exams

State Security Law Exam

Series 63

Date: 10/4/2006

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: 9/21/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/29/2022

General Securities Principal Examination

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

New York Stock Exchange

Current Firm

TJM INVESTMENTS, LLC

MND PARTNERS | TJM SECURITIES, LLC | TJM INVESTMENTS, LLC

CRD#: 46300 / SEC#: , 8-51370

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

318 W. Adams Street Suite 900, Chicago, IL 60606

Mailing Address

318 W. Adams Street 9th Floor, Chicago, IL 60606

Phone number

(312) 432-5100

Established

Illinois since 10/13/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (34 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
TJM HOLDINGS, LLC	HOLDING COMPANY
BEITLER, STEVE ALLEN	CHIEF EXECUTIVE OFFICER	1893827
BURKE, JOHN TERRENCE	CHIEF OPERATING OFFICER	2116593
DANG, STACY BINH	CHIEF COMPLIANCE OFFICER	3143275
MURPHY, THOMAS JAMES	CO-MANAGER	857354
RISINGER, COLLEEN SULLIVAN	FINOP CFO	2812053
SKWERES, DENISE PAREJKO	FINOP CFO	5332253

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Alvaro Vivanco

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alvaro Vivanco's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATWEST MARKETS SECURITIES INC.

BBVA SECURITIES INC.

UBS SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/4/2006

SIE

Date: 10/1/2018

Series 7

Date: 9/21/2006

Series 24

Date: 8/29/2022

Cboe Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE American LLC

NYSE Arca, Inc.

Nasdaq ISE, LLC

New York Stock Exchange

Current Firm

TJM INVESTMENTS, LLC

Contact information

FINRA licenses (34 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TJM INVESTMENTS, LLC

TRUST BUT VERIFY

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