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FS

Fernando Szterling

ALVAREZ & MARSAL SECURITIES
NEW YORK, NY 10017
CRD#: 5824324
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FS
Fernando SzterlingALVAREZ & MARSAL SECURITIES

Professional summary


Fernando Szterling is a registered financial professional currently at ALVAREZ & MARSAL SECURITIES, LLC located in New York, New York.

Fernando is registered as a RR (Registered Representative) and started their career in finance in 2010. Fernando has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 79 and Series 24 exams.

Question & Answer


Are you a "fiduciary"?
No

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 Fernando Szterling'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

June 30, 2025 - Present

ALVAREZ & MARSAL SECURITIES, LLC

Office #1: 100 Park Avenue - 9th Floor, New York, NY 10017
BD
CRD#: 127858
NEW YORK, NY
Past

February 22, 2022 - March 19, 2024

DELOITTE CORPORATE FINANCE LLC

BD
CRD#: 111747
NEW YORK, NY
Past

February 19, 2020 - January 5, 2022

FREDERICKS MICHAEL SECURITIES, INC.

BD
CRD#: 46725
NEW YORK, NY
Past

July 17, 2018 - July 18, 2019

SANTANDER INVESTMENT SECURITIES INC.

BD
CRD#: 37216
NEW YORK, NY
Past

September 5, 2017 - May 8, 2018

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

August 30, 2010 - August 2, 2016

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam
RR
Series 63
Date: 8/31/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA

Current Firm


A&
ALVAREZ & MARSAL SECURITIES, LLC
ALVAREZ & MARSAL SECURITIES, LLC

CRD#: 127858 / SEC#: , 8-66055

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information


Main Address
600 Madison Ave 8th Floor, New York, NY, 10022
Mailing Address
600 Madison Ave 8th Floor, New York, NY, 10022
Phone number
(212) 759-4433
Established
Delaware since 09/24/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)


Documents


Direct owners and executive officers


NamePositionCRD#
ALVAREZ & MARSAL NORTH AMERICA, LLCOWNER
VARUGHESE, GEORGEPRESIDENT/ CHIEF EXECUTIVE OFFICER1070353
WINTERS, KEITH ANTHONYCHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER/FINOP3126316

Disclosures


Regulatory Event1

Red Flags


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Company Information


ALVAREZ & MARSAL SECURITIES, LLC

CRD#: 127858New York, NY 10017

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