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Carlos Ruben Alvarado

Herbert J. Sims Capital Management, Inc.

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About Carlos Ruben Alvarado

Carlos Ruben Alvarado is an Investment Advisor Representative associated with Herbert J. Sims Capital Management, Inc. Carlos has been in the industry since 1985 and has experience with both broker-dealer and investment advisory services. The advisor is currently licensed to provide investment advisory services in Puerto Rico.

Firm Information

Carlos Alvarado is currently registered with Herbert J. Sims Capital Management, Inc.. Herbert J. Sims Capital Management, Inc. is an investment advisor based in Fairfield, Connecticut. The firm provides portfolio management for individuals and businesses, as well as selection of other advisors. They manage over $146 million in assets for 333 clients, including high-net-worth individuals, charitable organizations, corporations, and individuals. They also participate in wrap fee programs.
Herbert J. Sims Capital Management, Inc.

2150 POST ROAD

FAIRFIELD, CT 06824

$146.68M

Assets Under Management

Not reported

Total Clients

30

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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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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percentage of assets

A percentage of the total value of assets under management is charged.

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Carlos Alvarado’s Registration & Firm History

CT

04/05/2016 - Present

Herbert J. Sims Capital Management, Inc. (FAIRFIELD CT)

PR

02/28/2000 - 02/17/2016

SANTANDER SECURITIES LLC (San Juan PR)

NY

01/30/1985 - 02/28/2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 10/01/2007

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/20/1985

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/19/1985

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 30 public disclosures for Carlos Ruben Alvarado. Review regulatory record here.
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