Carlos Alvarado has been an investment adviser representative at Herbert J. Sims Capital Management since April 2016, and is not listed among the firm’s executive officers or direct owners.
Herbert J. Sims Capital Management, Inc. is a Fairfield, CT firm with $437M under management, 350 clients and 25 advisers across 5 offices, as of its April 2026 filing.
Carlos Alvarado’s longest registration is the current one, 10 years at Herbert J. Sims Capital Management since 2016. Before joining Herbert J. Sims Capital Management in 2016, Carlos Alvarado was registered through Santander Securities.
- – present · 10 yearsOrlando, FL · Adviser representative · Firm CRD 134510
- Santander Securities– · 5 yearsSan Juan, PR · Adviser representative · Firm CRD 41791
Investment adviser representative registrations
Carlos Alvarado is registered as an investment adviser representative in Puerto Rico, since April 2016.
- Puerto RicoSince 5 April 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 1 October 2007 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 February 1985 |
| Series 7 | General Securities Representative Examination | 19 January 1985 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Carlos Ruben Alvarado
- CRD
- 1329628
- Firm
- Herbert J. Sims Capital Management · CRD 134510
- Office
- Orlando, FL
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 1985
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Carlos Alvarado work?
Carlos Alvarado is an investment adviser representative registered through Herbert J. Sims Capital Management, Inc. since April 2016, and is not listed among the firm’s executive officers or direct owners.
Is Carlos Alvarado a financial advisor?
Yes. Carlos Alvarado has a current investment-adviser registration in Puerto Rico, through Herbert J. Sims Capital Management since April 2016.
How many years of experience does Carlos Alvarado have?
Carlos Alvarado has 41 years in the financial industry, since March 1985, across 2 adviser firms.
What exams has Carlos Alvarado passed?
Carlos Alvarado has passed 3 licensing exams: the Series 7, Series 63 and Series 66. The earliest, the Series 7, was passed in January 1985. FINRA credited Carlos Alvarado with the SIE, which began in October 2018.
Where did Carlos Alvarado work before Herbert J. Sims Capital Management?
Before Herbert J. Sims Capital Management, Carlos Alvarado was registered through Santander Securities, March 2010 to February 2016.
Where is Carlos Alvarado based?
Carlos Alvarado’s registered office is in Orlando, FL.
Is Carlos Alvarado registered with FINRA?
Yes. Carlos Alvarado has a current broker registration, under CRD 1329628.
Source: FINRA BrokerCheck
How can I verify Carlos Alvarado’s record?
Search CRD 1329628 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Carlos Alvarado’s full registration record.
