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Antonio Rafael Alves

Charles Schwab & Co., Inc.

West Hartford, CT

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2021-10-25
  • CT RA
    APPROVED
    Since 2021-10-25

Branch Locations

11 South Main Street, West Hartford, CT 06107 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Prudential Insurance Company Of America Shelton CT 05/2016 07/2017
Prudential Annuities Distributors, Inc. Shelton CT 05/2016 07/2017
Keybank Shelton CT 07/2017 05/2019
Key Investment Services Llc Poughkeepsie NY 07/2017 05/2019
Triad Advisors Norcross GA 06/2019 02/2021
Reby Advisors, Llc Danbury CT 06/2019 02/2021
Lpl Financial, Llc Danbury CT 02/2021 09/2021
Wealth Enhancement Group Plymouth MN 03/2021 09/2021
Wealth Enhancement Advisory Services, Llc Danbury CT 03/2021 09/2021
Wealth Enhancement Brokerage Services Plymouth MN 03/2021 09/2021
Charles Schwab & Co., Inc. Fairfield CT 09/2021 Present
Charles Schwab Bank, Ssb Fairfield CT 09/2021 Present
Artistic Demos Llc New Jersey City NJ 06/2018 10/2018
  • 05/2016 → 07/2017
    The Prudential Insurance Company Of America
    Shelton, CT
  • 05/2016 → 07/2017
    Prudential Annuities Distributors, Inc.
    Shelton, CT
  • 07/2017 → 05/2019
    Keybank
    Shelton, CT
  • 07/2017 → 05/2019
    Key Investment Services Llc
    Poughkeepsie, NY
  • 06/2019 → 02/2021
    Triad Advisors
    Norcross, GA
  • 06/2019 → 02/2021
    Reby Advisors, Llc
    Danbury, CT
  • 02/2021 → 09/2021
    Lpl Financial, Llc
    Danbury, CT
  • 03/2021 → 09/2021
    Wealth Enhancement Group
    Plymouth, MN
  • 03/2021 → 09/2021
    Wealth Enhancement Advisory Services, Llc
    Danbury, CT
  • 03/2021 → 09/2021
    Wealth Enhancement Brokerage Services
    Plymouth, MN
  • 09/2021 → Present
    Charles Schwab & Co., Inc.
    Fairfield, CT
  • 09/2021 → Present
    Charles Schwab Bank, Ssb
    Fairfield, CT
  • 06/2018 → 10/2018
    Artistic Demos Llc
    New Jersey City, NJ
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-02-01
S63 Uniform Securities Agent State Law Examination 2016-10-11
  • S65 Uniform Investment Adviser Law Examination
    2020-02-01
  • S63 Uniform Securities Agent State Law Examination
    2016-10-11
Other Names
  • Antonio R Gonzales
  • Antonio R Gonzalez
  • Tony Alves
  • Antonio R Alves

View on SEC IAPD

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Other Offices

MCCARY ANHEUSER WEALTH MANAGEMENT, LLC · WEST HARTFORD, CT
COMMONWEALTH FINANCIAL NETWORK · West Hartford, CT
JANNEY MONTGOMERY SCOTT LLC · West Hartford, CT
LPL FINANCIAL LLC · WEST HARTFORD, CT
CETERA INVESTMENT ADVISERS LLC · WEST HARTFORD, CT
LPL FINANCIAL LLC · WEST HARTFORD, CT
PRIME CAPITAL FINANCIAL · West Hartford, CT
THE PATRIOT FINANCIAL GROUP, LLC · WEST HARTFORD, CT

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