Robert Alvarez (CRD #: 2242198), an investment adviser registered with International Assets Advisory, has a fine from the State of Louisiana, according to his BrokerCheck record, accessed on October 21, 2020. There are more disclosures related to Mr. Alvarez’s conduct as a broker that investors should note.

On September 21, 2020, the State of Louisiana imposed a $500 civil fine, following allegations that Robert Alvarez violated the Louisiana Insurance Code with fraudulent, coercive, or dishonest practices, or by making misrepresentations during the course of business.

On May 2, 2013, Robert Alvarez was fired from his position at LPL Financial following allegations that he did not disclose a current suspension at a previous broker-dealer to the firm’s compliance department.

On April 19, 2013, Mr. Alvarez was permitted to resign from Ameriprise Financial Services following allegations that he had violated firm policies regarding client signatures and failed to comply with suspension requirements.

Robert Alvarez has passed the Series 66 Uniform Combined State Law Examination, the Securities Industry Essentials Examination, and the Series 7 General Securities Representative Examination. He is a registered broker in California, Delaware, Florida, Georgia, Louisiana, Mississippi, New Jersey, New York, Ohio, Pennsylvania, and Texas. He is also a registered investment adviser in Louisiana.

During the course of his career, Mr. Alvarez has worked at the following firms:

  • International Assets Investment Management (CRD #: 144426)
  • LPL Financial LLC (CRD #: 6413)
  • Ameriprise Financial Services Inc. (CRD #: 6363)
  • IDS Life Insurance Company (CRD #: 6321)

If Robert Alvarez was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys at Fitapelli Kurta. Call (877) 238-4175 or email info@fkesq.com for a free case consultation with a securities attorney.

Leave a Comment