Javier Christian Avalos
Professional Summary
Javier Christian Avalos is a registered financial advisor currently at CAPLIGHT MARKETS LLC located in San Francisco, California. Javier is registered as a RR (Registered Representative) and started their career in finance in 2011. Javier has worked at 6 firms and has passed the Series 66, Series 99TO, SIE, Series 79, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
15 years in the financial services industry
Current & Past Employments
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Current Firm
CAPLIGHT MARKETS LLC | PROSPERO CAPITAL LLC
Contact Information
Main Address
531 Howard Street 4th Floor, San Francisco, CA 94105Mailing Address
531 Howard Street 4th Floor, San Francisco, CA 94105Phone Number
(917) 456-2371Established
Connecticut since 01/14/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (10 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(4/6/2023)
(8/12/2022)
(7/1/2023)
(10/16/2023)
(7/21/2026)
(4/26/2023)
(3/22/2023)
(7/17/2026)
(7/27/2026)
(9/23/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Aug 2013About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Javier Christian Avalos's CRS (Customer Relationship Summary).
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