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Robert Nevarez: Investor Complaint Against Nevarez Wealth Advisor
Irvine, California financial advisor Robert Nevarez (CRD# 4039930) allegedly recommended an unsuitable investment, according to a recent investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Dempsey Lord Smith, doing business as Nevarez Wealth Management.
Mr. Nevarez’s BrokerCheck report discloses one investor complaint against him. Filed in July 2021, it alleges that as a representative of National Securities Corporation, he recommended an unsuitable investment in a real estate securities product. The pending complaint alleges damages of $65,000.
According to the Financial Industry Regulatory Authority, Robert Nevarez holds 21 years of securities industry experience. Based in Irvine, California, he has been a broker and an investment advisor with Dempsey Lord Smith since 2017, doing business as Nevarez Wealth Management. His past registrations include National Securities Corporation (Redondo Beach, California; 2009-2017), LPL Financial Corporation (Long Beach, California; 2008-2009), AIG Financial Advisors (Torrance, California; 2005-2008), SunAmerica Securities (Phoenix, Arizona; 2004-2005), Edward Jones (St. Louis, Missouri; 2003-2004), World Group Securities (Duluth, Georgia; 2002), and WMA Securities (Duluth, Georgia; 2000-2002). He has passed seven securities industry qualifying examinations: the General Securities Principal Examination, or Series 24; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the National Commodity Futures Examination, or Series 3; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in Arizona, California, Colorado, Idaho, Michigan, New York, and Oklahoma. (Information current as of August 16, 2022.)
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