Individual Firm
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RYAN ROBERT ALVAREZ
CRD#: 4266877
IA
B
LION STREET ADVISORS, LLCCRD#: 167610 600 S WASHINGTON ST
STE 100A
NAPERVILLE, IL 60540
STE 100A
NAPERVILLE, IL 60540
LION STREET FINANCIAL, LLCCRD#: 165828 600 S WASHINGTON ST
STE 100A
NAPERVILLE, IL 60540
STE 100A
NAPERVILLE, IL 60540
View By:
8/30/2019
Customer Dispute
Denied
2/10/2011
Customer Dispute
Denied
3/10/2008
Customer Dispute
Denied
5/1/1992
Employment Separation After Allegations
State Registrations
B
Arizona 8/4/2017
B
Indiana 11/6/2017
B
Arkansas 8/22/2017
B
Iowa 1/12/2023
B
California 8/4/2017
B
Mississippi 5/23/2019
B
Florida 1/26/2023
B
Nevada 1/6/2025
B
Georgia 6/29/2022
B
New Mexico 4/8/2019
B
Illinois 8/21/2017
B
Texas 11/8/2023
IA
Illinois 8/22/2017
B
Wisconsin 4/25/2019
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 8/22/2017
B
Registered with this firm since 8/4/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/12/2010 - 08/04/2017 | NAPERVILLE, IL | |
B | 10/08/2010 - 08/04/2017 | NAPERVILLE, IL | |
IA | 11/13/2009 - 10/12/2010 | AURORA, IL | |
B | 11/13/2009 - 10/12/2010 | AURORA, IL | |
IA | 01/22/2008 - 11/13/2009 | NAPERVILLE, IL | |
B | 01/18/2008 - 11/13/2009 | NAPERVILLE, IL | |
IA | 09/14/2004 - 01/31/2008 | CICERO, IL | |
B | 02/05/2001 - 01/31/2008 | CICERO, IL | |
IA | 01/18/2008 - 01/18/2008 | NAPERVILLE, IL |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.