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BRENDA M ALFARO

BRENDA M. ALFARO

Some features on this profile are disabled
CRD#: 6311915
BRENDA M ALFARO

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

BRENDA M ALFARO was a registered financial professional .

BRENDA is a previously registered financial professional and started their career in finance in 2015. BRENDA had worked at 3 firms and has passed the SIE and Series 6 exams.

Biography

Brenda joined CAPTRUST in 2023 and is a financial advisor relationship manager on the Religious Services advisory team. She’s responsible for providing high-quality service to clients and implementing business management initiatives to support team’s day-to-day operations. Brenda is a results-driven financial service professional, focused on business development for several private and public asset classes since 2005. Prior to joining CAPTRUST, she was managing director at Safe Harbor Equity and senior VP at LM Capital Group. Brenda holds a Bachelor of Science degree in psychology from Florida International University and a Master’s degree in social science administration from Case Western Reserve University. She has a passion for helping and creating an ecosystem of collaboration and partnerships. She serves on the New York chapter board of the National Association of Securities Professionals and has been an active contributor and member of the New America Alliance. Outside of the office, Brenda enjoys exercising, gardening, traveling, family events, and music.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Education

Florida International University

BS - Psychology

Case Western Reserve University

Master - Social science administration

Experience

Past

July 16, 2024 - July 22, 2025

ANDES CAPITAL GROUP, LLC

BD
CRD#: 139212
CHICAGO, IL
Past

April 13, 2023 - February 1, 2024

CAPFINANCIAL SECURITIES, LLC.

BD
CRD#: 126291
RALEIGH, NC
Past

December 8, 2020 - October 6, 2022

ANDES CAPITAL GROUP, LLC

BD
CRD#: 139212
CHICAGO, IL
Past

December 28, 2015 - December 31, 2018

FRONTIER SECURITIES

BD
CRD#: 136102
RICHMOND, VA

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 12/28/2015
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AC
ANDES CAPITAL GROUP, LLC
ANDES CAPITAL GROUP, LLC

CRD#: 139212 / SEC#: , 8-67202

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

Main Address
205 West Wacker Drive Suite 610, Chicago, IL 60606
Mailing Address
205 West Wacker Drive Suite 610, Chicago, IL 60606
Phone number
(312) 376-4500
Established
Illinois since 08/03/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
POOLE, SEAN WILLIAMMEMBER7010269
MCGAUGH, RAYMOND SCOTTMEMBER2649886
SPEARS, CURTIS LAVELLPRESIDENT, CEO, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER4117812
LENART, BRIAN DOUGLASFINOP, CFO, PFO/POO736107
PEARLMAN, CRAIG ALANPRINCIPAL4456956

Disclosures

Regulatory Event2

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.

Company Information

ANDES CAPITAL GROUP, LLC

Financial Advisor, Relationship ManagerCRD#: 139212

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Contact information

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