Sergio Alvarez-Mena is currently a Director of Credit Suisse Securities (USA) LLC in the Legal & Compliance Department. He is responsible for CSSU’s cross-border business including the Asia, Latin America and European markets . Mr. Alvarez-Mena also advises CSSU North America Private Banking on Securities and Banking matters.
Before joining Credit Suisse he was an Executive Director of Morgan Stanley Smith Barney, LLC. Mr. Alvarez-Mena was formerly lead counsel for the Private Wealth Management division, as well as lead counsel for all U.S. based cross-border business including the Latin American division, and its New York, Geneva, Miami, and Sao Paulo offices. Mr. Alvarez-Mena also served as Head of the International Private Client Group and was in management from 2010-2013.
Prior to joining Morgan Stanley & Co. in December 2008, he served as lead counsel to Merrill Lynch International Latin America Private Client division and Merrill Lynch Bank & Trust (Cayman) Ltd. From 1989 through 2000, Mr. Alvarez-Mena was an equity partner of Morgan Lewis & Bockius specializing in cross-border matters and the representation of financial institutions in those matters.
He graduated from Georgia Military College Preparatory School 1974, Loyola University of the South B.A. (summa cum laude) 1978; and the University Of Georgia School Of Law in 1981 where he was a Welborn Cody Scholar and an Editor of the Georgia Journal of International and Comparative Law.
An annual conference highlight, this breakout session addresses current regulatory topics affecting the cross-border private client business. Featuring senior SEC and FINRA staff and leading brokerage industry counsel, both internal and external, the panel will discuss: The SEC’s proposed Regulation Best Interest and its impact on the cross-border private wealth business The significance of FINRA’s […]