Alberto Liz
Professional summary
Alberto Liz, who also goes by Alberto Liz Lerdo De Tejada, is a registered financial advisor currently at THE MOSAIC FINANCIAL GROUP, LLC located in Chicago, Illinois.
Alberto is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Alberto has worked at 4 firms and has passed the Series 65, Series 66, Series 3, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Alberto Liz's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 12, 2024 - Present
THE MOSAIC FINANCIAL GROUP, LLC
Office #1: 303 E. Wacker Drive Suite 1675, Chicago, IL 60601January 11, 2019 - August 17, 2023
GOLDMAN SACHS & CO. LLC
May 5, 2015 - June 8, 2018
SECURIAN FINANCIAL SERVICES, INC.
May 5, 2015 - June 8, 2018
CRI SECURITIES, LLC
March 10, 2015 - June 8, 2018
SECURIAN FINANCIAL SERVICES, INC.
March 10, 2015 - June 8, 2018
CRI SECURITIES, LLC
Primary Firm SEC Registration
THE MOSAIC FINANCIAL GROUP, LLC
CRD#: 109816 / SEC#: 801-58120
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/12/2024)
Exams
Current Firm
THE MOSAIC FINANCIAL GROUP, LLC
CRD#: 109816 / SEC#: 801-58120
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 569 |
| AUM (Assets Under Management) | $ 898,494,961 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 12/11/2023 | ||
| 02/14/2023 |
Red Flags
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