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GC

Gustavo J. Chavez

ALPHA CAPITAL LLC
Lubbock, TX 79424
Some features on this profile are disabled
CRD#: 7451049
GC

Professional summary

Gustavo Jose Chavez is a registered financial advisor currently at ALPHA CAPITAL LLC located in Lubbock, Texas.

Gustavo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Gustavo has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gustavo Jose Chavez'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®
None

Experience

Current

May 23, 2025 - Present

ALPHA CAPITAL LLC

Office #1: 6213 98th Street, Lubbock, TX 79424
RIA
CRD#: 321194
Lubbock, TX
Past

May 6, 2025 - May 29, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
LUBBOCK, TX
Past

November 27, 2024 - May 29, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
LUBBOCK, TX

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
Texas
(5/23/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/3/2025
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/27/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/2/2024
Securities Industry Essentials Examination

Current Firm

AC
ALPHA CAPITAL LLC
ALPHA CAPITAL LLC | ALPHA CAPITAL, LLC

CRD#: 321194 / SEC#:

Texas
Registered Investment Advisory firm - (7/15/2022 Approved)
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Contact information

Main Address
6213 98th Street, Lubbock, TX 79424
Mailing Address
Phone number
(806) 300-0401
Established
Firm type
Fiscal year end
# of Employees
3

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts162
AUM (Assets Under Management)$ 51,473,203

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.

Company Information

ALPHA CAPITAL LLC

CRD#: 321194Lubbock, TX 79424

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