AR
Alexander Rivera Cruz
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CRD#: 7226602
AR
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.
Alexander Rivera Cruz, who also goes by Alexander Rivera, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2020. Alexander had worked at 1 firm and has passed the Series 65 and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Alexander Rivera
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.
Other business - 1
Name: Fernandez Valdivia & Company PSC
Investment Related: No
Address: 2nd floor,107 Calle Isabel Andreu de Aguilar, San Juan, 00918
Nature: CPA Firm
Position/Title: Audit Manager
Start Date: October 2009
Approximate number of hours/month:20
Hours during securities trading hours:15
Duties:
a) Oversee the efforts of 8 retirement plan audits engagements in a wide variety of industries such as healthcare, auto, hospitality, manufacturing and others. Managed engagements under assigned budget and minimized risk on audits and proposals.
b) Prepare written reports containing audit findings with recommendations for improvements. .
c) Developed retirement plan audit division based on the experience and relationships of employee benefit plans, networking with third party administrators, custodians and trustees.
Other business - 2
Name: Pension Administrators Group, Inc
Investment Related: Yes
Address: Ochoa Bldg Suite 205 Tanca St. #500 San Juan 00902
Nature: Third Party Administration of Retirement Plans
Position/Title: Retirement Plan Specialist/Relationship Manager
Start Date: September 2016
Approximate number of hours/month:160
Hours during securities trading hours:140
Duties:
a) Administered over 200 corporate and individual retirement plans with over 8,500 lives and over $125M in assets under management.
b) Daily administration includes processing request from clients and participants such as contributions and withdrawals, discrimination testing, filing tax returns and resolving website support issues.
c)Learned and practiced technical knowledge of ERISA and retirement plan administration; investment knowledge/education related to retirement plans; presentation skills to varied audiences - plan participants, plan sponsors, investment committees and internal client service team members.
Other business - 3
Name: Alexander Rivera Cruz, CPA Services
Investment Related: No
Address: Urb Terralinda 4 Calle Ovalo Caguas PR 00727
Nature: Tax return preparations
Position/Title: CPA
Start Date: February 2008
Approximate number of hours/month:5
Hours during securities trading hours:2
Duties:
a) Prepare state and federal tax returns for clients
b) Represent clients at Puerto Rico Treasury Department
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®
NoneExperience
Past
March 27, 2020 - July 17, 2023
X-SQUARE CAPITAL
RIA
CRD#: 167237
GUAYNABO, PR
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".
XC
X-SQUARE CAPITAL
X-SQUARE CAPITAL | X-SQUARE CAPITAL, LLC | X-SQUARE CAPITAL, INC.
CRD#: 167237 / SEC#: 801-88171
RIA
Registered Investment Advisory firm - (4/6/2015 Approved)Puerto Rico
Registered Investment Advisory firm - (4/10/2015 Terminated)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
State Security Law Exam
General Industry/Product Exam
Current Firm
XC
X-SQUARE CAPITAL
X-SQUARE CAPITAL | X-SQUARE CAPITAL, LLC | X-SQUARE CAPITAL, INC.
CRD#: 167237 / SEC#: 801-88171
RIA
Registered Investment Advisory firm - (4/6/2015 Approved)Puerto Rico
Registered Investment Advisory firm - (4/10/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Centro Internacional De Mercadeo Ii 90 Carr 165, Suite 803, Guaynabo, PR 00968
Mailing Address
Phone number
(787) 282-1621
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 263 |
| AUM (Assets Under Management) | $ 616,864,678 |
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.
