Alvaro S. Paiz
Professional summary
Alvaro Steven Paiz was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alvaro Steven Paiz, who also goes by Alvaro Paiz, Steven Paiz, was a registered financial professional .
Alvaro is a previously registered financial professional and started their career in finance in 2010. Alvaro had worked at 5 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
February 17, 2020 - April 19, 2021
EDWARD JONES
February 14, 2020 - April 19, 2021
EDWARD JONES
April 18, 2019 - January 22, 2020
LPL FINANCIAL LLC
April 18, 2019 - January 22, 2020
LPL FINANCIAL LLC
October 27, 2014 - May 1, 2019
J.P. MORGAN SECURITIES LLC
October 27, 2014 - May 1, 2019
J.P. MORGAN SECURITIES LLC
August 2, 2013 - September 29, 2014
EQUITABLE ADVISORS, LLC
August 2, 2013 - September 29, 2014
EQUITABLE ADVISORS, LLC
July 13, 2012 - January 10, 2013
OSAIC SERVICES, INC.
July 11, 2012 - January 10, 2013
OSAIC SERVICES, INC.
July 12, 2010 - May 3, 2012
EDWARD JONES
June 28, 2010 - May 3, 2012
EDWARD JONES
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
