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Carlos Miguel Alvarez

Charles Schwab & CO., Inc.

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About Carlos Miguel Alvarez

Carlos Alvarez is a registered representative with Charles Schwab & CO., Inc. Carlos is a registered investment advisor in Florida and has been in the industry since October 23, 2014. Carlos has passed the Series 66, Series 10, Series 9, Series 7 and SIE exams. Carlos is licensed in 22 states and has a total of 20 approved state registrations. Carlos has specialized in the areas of financial planning and selection of other advisors.

Firm Information

Carlos Alvarez is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Carlos Alvarez’s Registration & Firm History

FL

08/10/2023 - Present

Charles Schwab & CO., Inc. (Winter Park FL)

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Licenses & Designations

BOTH

Issued 05/18/2015

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/11/2016

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 05/23/2016

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/24/2014

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Carlos Miguel Alvarez.
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