Alfredo Kawas Obregon
Professional Summary
Alfredo Kawas Obregon is a registered financial advisor currently at CICADA SECURITIES. Alfredo is registered as a RR (Registered Representative) and started their career in finance in 2023. Alfredo has worked at 1 firm and has passed the Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
LPL FINANCIAL LLC
PKS ADVISORY SERVICES, LLC
CHARLES SCHWAB & CO., INC.
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
PKS ADVISORY SERVICES, LLC
CHARLES SCHWAB & CO., INC.
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
PKS ADVISORY SERVICES, LLC
CHARLES SCHWAB & CO., INC.
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
PKS ADVISORY SERVICES, LLC
CHARLES SCHWAB & CO., INC.
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Years of Experience
4 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
LPL FINANCIAL LLC
PKS ADVISORY SERVICES, LLC
CHARLES SCHWAB & CO., INC.
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Current Firm
CICADA SECURITIES | CICADA SECURITIES, LLC
Contact Information
Main Address
289 Greenwich Ave Floor 2, Greenwich, CT 06830Mailing Address
289 Greenwich Ave Floor 2, Greenwich, CT 06830Phone Number
(917) 809-4456Established
Delaware since 03/17/2021Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Similar Advisors
LPL FINANCIAL LLC
PKS ADVISORY SERVICES, LLC
CHARLES SCHWAB & CO., INC.
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
LPL FINANCIAL LLC
PKS ADVISORY SERVICES, LLC
CHARLES SCHWAB & CO., INC.
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
LPL FINANCIAL LLC
PKS ADVISORY SERVICES, LLC
CHARLES SCHWAB & CO., INC.
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRS (Client Relationship Summary) - BD
Click below to view Alfredo Kawas Obregon's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
PKS ADVISORY SERVICES, LLC
CHARLES SCHWAB & CO., INC.
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC