FA
Frank J. Alvarez
TIDEMARK
San Diego, CA 92121
Some features on this profile are disabled
CRD#: 6440292
FA
Professional summary
Frank Joshua Alvarez, who also goes by Frank Alvarez, is a registered financial advisor currently at TIDEMARK, LLC located in San Diego, California and LPL FINANCIAL LLC located in San Diego, California.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Frank has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frank Alvarez
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.
1. 10/19/2017 - Tidemark Financial Partners/Tidemark FP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/01/2017 - 160 Hours Per Month/140 Hours During Securities Trading. 2. 7/24/2020 - Alvarez Financial - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 02/14/2020 - 5 Hours Per Month/0 Hours During Securities Trading. 3. 10/24/2023 - Tidemark, LLC - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 09/21/2023 - 160 Hours Per Month/ During Trading - I provide investment advisory services through Tidemark, LLC, an independent investment advisor firm. I started this business activity in 09/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Frank Joshua Alvarez'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®
NoneExperience
Current
October 2, 2023 - Present
TIDEMARK, LLC
Office #1: 5405 Morehouse Dr. Suite 345, San Diego, CA 92121RIA
CRD#: 327611
San Diego, CA
Current
June 16, 2015 - Present
LPL FINANCIAL LLC
Office #1: 5405 Morehouse Dr, Suite 345, San Diego, CA 92121RIA
BD
CRD#: 6413
San Diego, CA
Past
June 16, 2015 - December 22, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
April 1, 2015 - June 10, 2015
WADDELL & REED
RIA
CRD#: 866
SAN DIEGO, CA
Past
March 5, 2015 - June 10, 2015
WADDELL & REED
BD
CRD#: 866
SAN DIEGO, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TL
TIDEMARK, LLC
TIDEMARK FINANCIAL PARTNERS | TIDEMARK, LLC
CRD#: 327611 / SEC#: 801-128758
RIA
Registered Investment Advisory firm - (9/20/2023 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(6/16/2015)
IAR
California(10/2/2023)
RR
Florida(5/7/2024)
RR
Texas(9/14/2021)
IAR
Texas(10/23/2023)
RR
Washington(11/9/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TL
TIDEMARK, LLC
TIDEMARK FINANCIAL PARTNERS | TIDEMARK, LLC
CRD#: 327611 / SEC#: 801-128758
RIA
Registered Investment Advisory firm - (9/20/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5405 Morehouse Dr. Suite 345, San Diego, CA 92121
Mailing Address
Phone number
(888) 791-0197
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,567 |
| AUM (Assets Under Management) | $ 344,558,488 |
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.
