Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ivan? Claim Your ProfileIvan Oscar Alfaroismodes is a financial professional with over 27 years of experience in the industry. Ivan is currently registered with Wells Fargo Clearing Services, LLC, and holds Series 7, 10, 24, 63, 8, 9, and SIE licenses. Ivan has previously held roles at J.P. Morgan Securities LLC, Oppenheimer & Co. Inc., CIBC World Markets Corp., and Hightower Securities, LLC. In addition to the above, Ivan has been licensed as a Registered Options Principal. Ivan focuses on providing financial planning, portfolio management for individuals and businesses, and investment consulting services to institutional clients.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MO
07/18/2023 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
IL
01/06/2020 - 12/09/2021
HIGHTOWER SECURITIES, LLC (CHICAGO IL)
NY
02/04/2004 - 12/03/2019
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
01/03/2003 - 02/06/2004
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
10/21/1993 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
BC
Issued 04/22/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 4 - Registered Options Principal Examination
BC
Issued 04/02/2007
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 11/04/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/04/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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