Carlos Alvarado, financial advisor Fairfield CT

Carlos Alvarado

CRD Number: 1329628
Current Firm: Herbert J. Sims Capital Management, Inc.

Carlos Alvarado (CRD# 1329628) is an Investment Advisor Representative working at Herbert J. Sims Capital Management, Inc. in Fairfield, CT and has over 37 years of experience in the finance industry.

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Company Name Location Dates Years
Herbert J. Sims & Company Inc. San Juan, PR Mar 2016 - Current 6
Santander Securities San Juan, PR Feb 2000 - Mar 2016 16
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1985
S66 NASAA Uniform Combined State Law Examination Oct 2007
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Carlos R. Alvarado
Phone Number: 203-418-9000
Registered State(s):
  • PR
By the Numbers
  • Total Assets Under Management
    177
    MILLIONS
  • Total Number of Accounts
    264
    ACCOUNTS
  • Average Account Value
    $670,745
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

CT, FL, MD, MN, NC, NJ, NY, PR, TX

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