Alberto I. Alvarez
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.
Alberto Inocente Alvarez, who also goes by Alberto Inocentte Alvarez, was a registered financial professional .
Alberto is a previously registered financial professional and started their career in finance in 1981. Alberto had worked at 7 firms and has passed the Series 63, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 1993 - April 8, 1994
LOMBARD INVESTMENT SERVICES, INC.
July 31, 1991 - May 11, 1993
AMERISECURITIES CAPITAL CORP.
December 13, 1990 - July 16, 1991
PRUDENTIAL EQUITY GROUP, LLC
August 28, 1985 - December 21, 1990
LEHMAN BROTHERS INC.
June 6, 1984 - July 19, 1985
PERSHING LLC
November 16, 1981 - June 19, 1984
LEHMAN BROTHERS INC.
October 20, 1981 - November 24, 1981
CITIGROUP GLOBAL MARKETS INC.
January 19, 1981 - June 24, 1981
E. F. HUTTON & COMPANY 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
Series 5
Date: 10/23/1981
Interest Rate Options ExaminationSeries 8
Date: 4/13/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LOMBARD INVESTMENT SERVICES, INC.
CRD#: 31293 / SEC#: , 8-45476
Contact information
Documents
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.
