Hugo Alves
Hugo Alves is a CFP-designated registered investment advisor at Northwestern Mutual Investment Services,llc, based in Stamford, CT, with 21 years of industry experience. Hugo is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 1 clients.
Compensation
Firm Size
IM Fee
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
333 Ludlow St Ste 6, Stamford, CT, 06902
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Hugo is the Board of Education Chair for the New Canaan Board of Education, dedicating a few hours per week. He also has an investment-related business entity, OSF LLC, taking about half of Hugo's time.
Employment History
Current Registrations
Northwestern Mutual Investment Services, LLCBroker
Northwestern Mutual Investment Services,llc
Previous Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Pequot Capital Financial ServicesBroker
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
Metropolitan Life Insurance CompanyBroker
Metlife Securities INC.Broker
Prudential Securities IncorporatedBroker
Pruco Securities CorporationBroker
State Registrations29 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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