Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roberto? Claim Your ProfileRoberto Alvarez is a financial advisor with over 18 years of experience in the industry. Roberto currently works with Merrill Lynch, Pierce, Fenner & Smith Inc. in Miami, FL. He is registered with the Financial Industry Regulatory Authority (FINRA) as a Registered Representative (Series 7) and holds the Uniform Securities Agent State Law Examination (Series 63) and the Uniform Investment Adviser Law Examination (Series 65). Roberto was previously registered with HSBC Securities (USA) Inc. and HSBC Brokerage (USA) Inc.. His experience includes providing a range of financial services to individuals, businesses, and institutions, including portfolio management, financial planning, and investment advisory services.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
FL
03/27/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MIAMI FL)
FL
01/01/2005 - 09/22/2010
HSBC SECURITIES (USA) INC. (MIAMI FL)
NY
08/01/2002 - 01/01/2005
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
IA
Issued 06/09/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/15/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/18/2013
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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