Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Javier? Claim Your ProfileJavier Avalos is a financial professional with over 10 years of experience in the industry. Javier currently works at Caplight Markets LLC in San Francisco. Previously, Javier has held positions at NORTH CAPITAL PRIVATE SECURITIES CORPORATION, FORGE MARKETS LLC, DEUTSCHE BANK SECURITIES INC., COWEN AND COMPANY, and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Javier holds the Series 66, 24, 99TO, SIE, 79, and 7 licenses. Javier is registered to conduct business in California, Connecticut, Florida, Illinois, Nevada, New Jersey, and New York.
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.
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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2
CA
08/12/2022 - Present
Caplight Markets LLC (San Francisco CA)
UT
05/06/2021 - 11/30/2021
NORTH CAPITAL PRIVATE SECURITIES CORPORATION (SALT LAKE CITY UT)
CA
06/21/2017 - 10/06/2020
FORGE MARKETS LLC (San Francisco CA)
CA
05/08/2014 - 04/18/2017
DEUTSCHE BANK SECURITIES INC. (SAN FRANCISCO CA)
CA
06/12/2013 - 05/08/2014
COWEN AND COMPANY (SAN FRANCISCO CA)
NY
08/12/2011 - 06/14/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 12/05/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/14/2021
Series 24 - General Securities Principal Examination
BC
Issued 12/13/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/09/2013
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 08/11/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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