Javier C. Avalos
Professional summary
Javier Christian Avalos is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Javier Christian Avalos's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 12, 2022 - Present
CAPLIGHT MARKETS LLC
Office #1: 531 Howard Street 4th Floor, San Francisco, CA 94105May 6, 2021 - November 30, 2021
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
June 21, 2017 - October 6, 2020
FORGE MARKETS LLC
May 8, 2014 - April 18, 2017
DEUTSCHE BANK SECURITIES INC.
June 12, 2013 - May 8, 2014
COWEN AND COMPANY
December 6, 2011 - June 14, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 12, 2011 - June 14, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/6/2023)
(8/12/2022)
(7/1/2023)
(10/16/2023)
(4/26/2023)
(3/22/2023)
Exams
Series 99TO
Date: 12/13/2023
Operations Professional ExaminationFINRA
Current Firm
CAPLIGHT MARKETS LLC
CRD#: 103970 / SEC#: , 8-52440
Contact information
FINRA licenses (6 States and Territories)
Red Flags
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