Stephen A. Valovich
Professional summary
Stephen Anthony Valovich, who also goes by Stephen Anthony Valovich, Tony Valovich, Stephen Valovich, is a registered financial professional currently at PEAK BROKERAGE SERVICES, LLC located in Jupiter, Florida.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1983. Stephen has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Anthony Valovich's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 10, 2022 - Present
PEAK BROKERAGE SERVICES, LLC
Office #1: 1070 East Indiantown Road Suite 208 - 210, Jupiter, FL 33477-9999October 28, 2020 - September 20, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
May 15, 2020 - July 28, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
October 2, 2009 - May 26, 2020
LPL FINANCIAL LLC
November 13, 2000 - October 8, 2009
INVESTORS CAPITAL CORP.
December 1, 1997 - November 20, 2000
CAPITAL BROKERAGE CORPORATION
February 18, 1994 - December 1, 1997
FORTH FINANCIAL SECURITIES, CORPORATION
May 3, 1983 - February 9, 1994
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/10/2022)
Exams
FINRA
Current Firm
PEAK BROKERAGE SERVICES, LLC
CRD#: 157045 / SEC#: , 8-68829
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEAK REPS, LLC | OWNER | |
| COKER, KAREN | CHIEF RISK OFFICER | 2731928 |
| MUELLER, CHRISTOPHER BRIAN | CHIEF OPERATIONS OFFICER | 2098597 |
| PHILLIPS, DAVID LEVERT | CHIEF INFORMATION SECURITY OFFICER | 2054858 |
| REYNOLDS, MATTHEW MARK | PRESIDENT/FINOP | 4077413 |
| RUDNICK, REGINA MARY | PRESIDENT/HEAD OF ADVISOR SERVICES | 2373530 |
| TAYLOR, CHRISTIAN GABRIEL | CHIEF COMPLIANCE OFFICER | 5462381 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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