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Detailed Report
GIOVANNI JOSE ALVAREZ-MENA
CRD#: 5048298
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 80 S Lake Ave
Ste 555
Pasadena, CA 91101-2599
Registration History
200620082010201220142016201820202022202420262 FIRMS2016 - Present (8 years)BAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2012 - 2013 (<1 year)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2006 - 2010 (3 years)
License(s)

State Registrations

B
Arizona 11/18/2020
B
Nevada 11/9/2020
B
California 8/15/2016
B
New Mexico 5/17/2021
IA
California 8/15/2016
B
New York 2/24/2021
B
Colorado 11/2/2020
B
Pennsylvania 1/29/2021
B
Georgia 4/29/2021
IA
Texas 12/4/2020
B
Hawaii 1/5/2021
B
Texas 12/7/2020
B
Idaho 11/2/2020
B
Utah 1/22/2021
B
Michigan 2/11/2021
B
Washington 11/15/2019
B
Montana 1/22/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
80 S Lake Ave Ste 555, Pasadena, CA 91101-2599
Monrovia, CA
Registered with this firm since 8/15/2016
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
80 S Lake Ave Ste 555, Pasadena, CA 91101-2599
Monrovia, CA
Registered with this firm since 5/10/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 05/02/2012 - 01/29/2013 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) TUSTIN, CA
B
 06/22/2006 - 04/14/2010 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) NEWPORT BEACH, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.