JA
Jorge A. Alvarez
ALBUQUERQUE, NM
CRD#: 7658833
Some features on this profile are disabled
JA
Jorge A Alvarez
Professional summary
Jorge A Alvarez was a registered financial advisor .
Jorge is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Jorge had 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.
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
Current
June 9, 2026 - Present
ALBUQUERQUE, NM
Past
January 23, 2023 - June 10, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ALBUQUERQUE, NM
Past
December 5, 2022 - June 10, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ALBUQUERQUE, NM
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
New Mexico(6/9/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/3/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
Current firm
No current employment
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.
