CA
Carlos M. Alvarado
ALVARADO & ASSOCIATES
Gelndale, AZ
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CRD#: 7004571
CA
Professional summary
Carlos Mariano Alvarado is a registered financial advisor currently at ALVARADO & ASSOCIATES, LLC located in Gelndale, Arizona.
Carlos is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Carlos has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
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.
I am employed by Jacobs Solutions (NYSE: J) on a full-time basis. My role is Financial Analyst. The nature of the business is consulting and not investment related. There is no relationship between Jacobs and Alvarado & Associates. The investment approach I use with my clients is passive, so I do very little trading during market hours. This does not interfere with my Jacobs responsibilities. Additionally, I am associated with Caudal Capital, an Investment Advisory firm based and registered in Panama. My formal position with Caudal Capital is "Analista". I obtained a "Corredor de Valores y Analista" license from Panama's Superintendencia del Mercado de Valores (Licencia No. 1746, Resolucion SMV-246-19) authorizing me to provide investment advisory services in Panama.
CRS (Client Relationship Summary) - RIA
Click below to view Carlos Mariano Alvarado'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 9, 2018 - Present
ALVARADO & ASSOCIATES, LLC
RIA
CRD#: 298577
Gelndale, AZ
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.Highlighted states indicate IAR registrations
IAR
Arizona(2/1/2023)
IAR
Missouri(10/9/2018)
Current Firm
A&
ALVARADO & ASSOCIATES, LLC
ALVARADO & ASSOCIATES, LLC | ALVARADO WEALTH MANAGEMENT
CRD#: 298577 / SEC#:
Arizona
Registered Investment Advisory firm - (2/1/2023 Approved)Missouri
Registered Investment Advisory firm - (10/9/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Glendale, AZ
Mailing Address
Phone number
(703) 342-9088
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 50 |
| AUM (Assets Under Management) | $ 3,800,000 |
Red Flags
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