Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Hugo? Claim Your ProfileHugo Alves is a financial advisor with over 20 years of experience in the financial industry. Hugo is currently registered with Northwestern Mutual Investment Services, LLC and has held previous positions with firms such as MML Investors Services, LLC, Pequot Capital Financial Services, Wachovia Securities, LLC, MetLife Securities Inc., Metropolitan Life Insurance Company, Prudential Securities Incorporated, and Pruco Securities Corporation. Hugo holds the Series 63, 65, and 66 securities licenses and is also a Certified Financial Planner. Hugo Alves is dedicated to providing personalized financial advice to his clients and helping them reach their financial goals.
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.
Investment research; referrals to other advisers
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.
Set rates for specific services, regardless of time or assets managed.
Referral fees
1
2
CT
05/11/2022 - Present
Northwestern Mutual Investment Services, LLC (Stamford CT)
CT
11/20/2020 - 05/18/2022
MML INVESTORS SERVICES, LLC (SHELTON CT)
CT
10/14/2009 - 12/17/2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (Stamford CT)
CT
10/07/2005 - 12/05/2007
PEQUOT CAPITAL FINANCIAL SERVICES (WESTPORT CT)
MO
01/01/2004 - 11/02/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
MA
02/26/2001 - 03/11/2002
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
02/26/2001 - 03/11/2002
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
NY
02/02/2001 - 03/23/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
07/18/2000 - 02/23/2001
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BOTH
Issued 03/12/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/28/2000
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 08/21/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/17/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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