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Alfonso Avila

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Information

Other Names: Al Avila, Alfonso Avila Jr
Firm:
Type: Dual Registration
Description

Alfonso Avila is a financial professional at Cetera Investment Services LLC, a broker-dealer with over 1,600 registered representatives nationwide. Alfonso is also registered with Cetera Investment Advisers LLC, a $5B RIA based in Schaumburg, IL. Alfonso has held an industry securities registration for 17 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Cetera Investment Advisers LLC 11 months, 3 weeks Jan 2014 - Present
Cetera Investment Services 10 years, 2 months Oct 2004 - Present
Centier Bank 12 years, 3 months Sep 2002 - Present
U S Naval Reserve 21 years, 7 months May 1993 - Present
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 07/14/2009
Uniform Securities Agent State Law ExaminationSeries 63 12/20/1996
General Securities Representative ExaminationSeries 7 12/03/1996

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Alfonso Avila has not answered any questions on Financial Q&A.

Top Guides

Alfonso Avila has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
10/03/2014
04/25/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees