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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

Ernesto Antonio Alvarez

Advisor at CITIGROUP GLOBAL MARKETS INC.

Rolling Hills Estates, CA | Pasadena, CA | Hermosa Beach, CA | Redondo Beach, CA | Culver City, CA

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Search this name across graphsid dfx:ria:ed3418e7-9174-0b3b-5a15-730d4c7d2bd8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 2, 2003 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CITIGROUP GLOBAL MARKETS INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 15, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Oct 15, 1996
First registration: Jan 2, 2003
Dual registered: yes, broker-dealer
Other names: Ernesto A Alvarez|Ernesto Alvarez|ERNESTO ANTONIO ALVAREZ|Ernesto A. Alvarez
IAPD individual key: 2787959

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 6, 2020	n/a	yes	Redondo Beach, CA\|Culver City, CA\|Hermosa Beach, CA\|Rolling Hills Estates, CA\|Pasadena, CA	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Jul 12, 2019	Aug 12, 2020	no	Torrance, CA\|TORRANCE, CA	Previous registration
RBC SECURITIES, INC.	Bd affiliated wealth	Feb 26, 2014	Apr 29, 2015	no	LOS ANGELES, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Dec 5, 2006	Dec 15, 2008	no	WESTLAKE VILLAGE, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Jan 2, 2003	Aug 4, 2006	no	WESTLAKE, CA\|WESTLAKE, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J.P. MORGAN SECURITIES LLC	CITIGROUP GLOBAL MARKETS INC.	Aug 12, 2020	Aug 6, 2020	-6	Firm change	Wirehouse to ibd
RBC SECURITIES, INC.	J.P. MORGAN SECURITIES LLC	Apr 29, 2015	Jul 12, 2019	1,535	Firm change after gap	Other
WELLS FARGO INVESTMENTS, LLC	RBC SECURITIES, INC.	Dec 15, 2008	Feb 26, 2014	1,899	Firm change after gap	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	WELLS FARGO INVESTMENTS, LLC	Aug 4, 2006	Dec 5, 2006	123	Firm change	Other

Relationships

Registered with (5)

→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: current employment
Aug 6, 2020 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jul 12, 2019 to Aug 12, 2020factForm ADV
→ RBC SECURITIES, INC.Registered adviserregistration: previous registration
Feb 26, 2014 to Apr 29, 2015factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Dec 5, 2006 to Dec 15, 2008factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jan 2, 2003 to Aug 4, 2006factForm ADV

Dated events

No dated event names this entity yet.