Johnly Alvarado
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.
Johnly Alvarado, who also goes by Johnly E Alvarado, Johnly Alvarado, was a registered financial professional .
Johnly is a previously registered financial professional and started their career in finance in 2014. Johnly had worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2017 - March 12, 2019
ALLY INVEST SECURITIES LLC
February 16, 2016 - April 18, 2016
PRINCIPAL SECURITIES, INC.
November 25, 2014 - May 5, 2015
MESIROW FINANCIAL, INC.
September 22, 2014 - November 18, 2014
VOYA FINANCIAL ADVISORS, INC.
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
ALLY INVEST SECURITIES LLC
CRD#: 136131 / SEC#: , 8-66982
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
